BUDGET ESTIMATES - US Department of Transportation fy... · BUDGET ESTIMATES FISCAL YEAR 2012 FEDERAL RAILROAD ADMINISTRATION ... transportation authorization proposal, to facilitate

BUDGET ESTIMATES

FISCAL YEAR 2012

FEDERAL RAILROAD ADMINISTRATION

SUBMITTED FOR THE USE OF THE COMMITTEES ON APPROPRIATIONS

THIS PAGE IS INTENTIONALLY BLANK.

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DEPARTMENT OF TRANSPORTATION


FY 2012 CONGRESSIONAL BUDGET SUBMISSION

TABLE OF CONTENTS

Page Reference

Section 1: Overview

Administrator’s Overview ...................................................................................................1

Organization Chart ...............................................................................................................6

Section 2: Budget Summary Tables

Technical Note .....................................................................................................................7

FY 2012 New Budget Resources .........................................................................................8

FY 2012 Total Budgetary Resources by Appropriations Account ......................................9

FY 2012 Budget Request by DOT Strategic and Organizational Goals ............................11

FY 2012 Budget Request by DOT Outcomes....................................................................12

FY 2012 Budget Authority ................................................................................................14

FY 2012 Outlays ................................................................................................................16

Summary of Requested Funding Changes from Base

Safety and Operations ..................................................................................................18

Railroad Safety Technology Program ..........................................................................19

Railroad Research and Development ...........................................................................20

Network Development .................................................................................................21

Capital Assistance for High-Speed Rail Corridors and Intercity

Passenger Rail Service ...........................................................................................22

System Preservation .....................................................................................................23

Grants to the National Railroad Passenger Corporation (Amtrak) ..............................24

Working Capital Fund........................................................................................................25

Staffing Summaries

Total Full-Time Equivalents (FTE) .............................................................................26

Full-Time Permanent Positions (FTP) .........................................................................27

Surface Transportation Authorization Proposal .......................................................................28

Section 3: Budget by Appropriation Account

Safety and Operations

Appropriations Language ...................................................................................................29

Summary by Program Activity ..........................................................................................30

Program and Performance Language .................................................................................30

Summary Analysis of Change from FY 2010 Actual to FY 2012 .....................................31

Annual Performance Results and Targets ..........................................................................33

Detailed Justification for Safety and Operations ...............................................................37

Program and Financing Schedule ......................................................................................50

Object Classification Schedule ..........................................................................................51

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Page Reference

Section 3: Budget by Appropriation Account (cont’d)

Railroad Research and Development





Annual Performance Results and Targets ..........................................................................57

Detailed Justification for Railroad Research and Development ........................................58



Grants to the National Railroad Passenger Corporation (Amtrak)




Operating Subsidy Grants to the National Railroad Passenger Corporation




Capital and Debt Service Grants to the National Railroad Passenger Corporation




Amounts included in Baseline Projection of Current Policy .............................................90

Adjustments for Year-to-Year Comparability ...................................................................91

Legislative Proposal, Subject to PAYGO ..........................................................................92

High-Speed Rail Corridors and Intercity Passenger Rail Service, Recovery Act







Amounts included in Baseline Projection of Current Policy .............................................98

Adjustments for Year-to-Year Comparability ...................................................................99

Legislative Proposal, Subject to PAYGO ........................................................................100

Program and Financing Schedule - ARRA ......................................................................101

Object Classification Schedule - ARRA ..........................................................................102

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Page Reference


National High Performance Rail System

Appropriations Language .................................................................................................103

Summary by Program Activity ........................................................................................105

Program and Performance Language ...............................................................................106

Summary Analysis of Change from FY 2010 Actual to FY 2012 ...................................108

Annual Performance Results and Targets ........................................................................110

Detailed Justification for the National High Performance Rail System ..........................111

Program and Financing Schedule, Network Development ..............................................119

Object Classification Schedule, Network Development ..................................................120

Program and Financing Schedule, System Preservation and Renewal ............................121

Object Classification Schedule, System Preservation and Renewal ................................122

Railroad Rehabilitation and Improvement Financing Program

Appropriations Language .................................................................................................123

Program and Financing Schedule ....................................................................................124

Program and Performance Language ...............................................................................124

Object Classification Schedule ........................................................................................125

Guaranteed Loan Financing Account

Program and Financing Schedule ..............................................................................126

Status of Guaranteed Loans .......................................................................................126

Liquidating Account


Status of Direct Loans ................................................................................................128

Program and Performance Language .........................................................................128

Balance Sheet .............................................................................................................129

Object Classification Schedule ..................................................................................130

Direct Loan Financing Account


Status of Direct Loans ................................................................................................132


Balance Sheet .............................................................................................................132

Receipts – Policy/Baseline .........................................................................................133

Other Accounts

Efficiency Incentive Grants to the National Railroad Passenger Corporation



Northeast Corridor Improvement Program




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Page Reference


Other Accounts (cont’d)

Emergency Railroad Rehabilitation and Repair




Railroad Safety Technology Program

Summary by Program Activity ..................................................................................140


Summary Analysis of Change from FY 2010 Actual to FY 2012 .............................141



Grants to the National Railroad Passenger Corporation - ARRA




Grants to the National Railroad Passenger Corporation




Intercity Passenger Rail




Rail Line Relocation and Improvement Program

Appropriations Language ...........................................................................................150

Summary by Program Activity ..................................................................................151


Summary Analysis of Change from FY 2010 Actual to FY 2012 .............................153



Next Generation High-Speed Rail




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Page Reference


Other Accounts (cont’d)

Pennsylvania Station Redevelopment Project .................................................................158




Alaska Railroad Rehabilitation



Other Exhibits

Administrative Provisions—Federal Railroad Administration ........................................161

History of Appropriations ................................................................................................162

Discussion of Exhibit 300s ..............................................................................................164

Section 4: Research, Development, and Technology

Budget Authority .............................................................................................................165

FY 2012 RD&T Budget Request by DOT Goal ..............................................................166

Section 5: Railroad Safety Strategy

Railroad Safety Strategy ..................................................................................................167

Section 6: Railroad Safety Strategy: FY 2011 Progress Assessment

Railroad Safety Strategy: FY 2011 Progress Assessment ..............................................199

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1



Mission

The Federal Railroad Administration (FRA) was established by the Department of

Transportation Act of 1966 as the agency to ensure the Nation’s passenger and freight rail

transportation safety and infrastructure requirements. As such, FRA promotes safe,

environmentally sound railroad transportation to meet the Nation’s current and future needs.

FRA promulgates and enforces rail safety regulations, administers

a portfolio of railroad assistance programs, conducts research and

development in support of improved railroad safety and national

rail transportation policy, and consolidates government support of

rail transportation activities. The enactment of the American

Recovery and Reinvestment Act of 2009 (ARRA) provided FRA

with $8 billion to establish the High-Speed Intercity Passenger Rail

Program, which is transforming FRA’s mission by adding a new

dimension and policy initiative—partnering with States and the private sector to support

development of regional networks of high-speed and intercity passenger rail services. FRA’s

mission fully supports multiple goals in the Department of Transportation’s (DOT) strategic

plan. Specifically, FRA’s core programs directly contribute to achieving the Safety, Economic

Competitiveness, Environmental Sustainability, Livable Communities, State of Good Repair, and

Organizational Excellence strategic goals.

Administrator’s Overview

FY 2012 marks a pivotal year in achieving the President’s goal to give 80 percent of Americans

convenient access to a passenger rail system, featuring high-speed service, within 25 years.

Building on the funding and state efforts initiated in 2009, and the momentum of 2010 and 2011,

FRA’s FY 2012 budget request represents a cohesive and comprehensive approach to developing

new passenger rail corridors, while preserving and enhancing the Nation’s existing

infrastructure. This budget request is driven by future population growth and economic

demands, is informed by international experiences, and is focused on moving people, not trains,

with world-class service.

To accelerate job growth further and allow States to initiate sound multi-year investments, DOT

FY 2012 budget includes a $50 billion boost above current law spending for railways, roads, and

runways. Within this up-front investment are $3 billion for additional high-speed rail network

development and $2.5 billion for returning publicly-owned infrastructure to a cost-efficient,

reliable condition; procuring equipment to replace the Nation’s aging fleet; making all stations

accessible for those with disabilities; and improving the performance of the Northeast Corridor

that serves the Nation’s highest concentration of population and economic activity.

In formulating the FY 2012 budget request, FRA restructured its appropriation accounts to

advance a comprehensive, long-term vision, which will be included in DOT’s six-year surface

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transportation authorization proposal, to facilitate the development of a high-performance

passenger rail system and to continue FRA’s core rail safety mission. For the first time ever, the

Administration proposes to include passenger rail programs in a multi-year authorization funded

with mandatory contract authority out of a dedicated rail account of the new Transportation Trust

Fund (the successor to the Highway Trust Fund).

Although facilitating development and expansion of the Nation’s high-performance rail system is

the centerpiece of this year’s request, FRA’s safety culture continues to drive the agency and its

safety programs demanded by the public. FRA remains the single Federal agency charged with

ensuring that U.S. rail transportation is safe, secure, efficient, and reliable. In fact, during the

past 18 months, FRA’s safety mission has significantly expanded in terms of scope, impact, and

responsibility of national level programs and activities. The FY 2012 budget builds upon the

programs and policy resulting from three pieces of legislation that reshaped the agency’s mission

and focus: (1) the Rail Safety Improvement Act of 2008 (RSIA), (2) the Passenger Rail

Investment and Improvement Act of 2008 (PRIIA), and (3) ARRA.

Since its establishment over four decades ago, FRA has made significant contributions toward

the safety, operation, and advancement of the Nation’s passenger and freight rail industry and

infrastructure. Today, FRA regulates more than 740 railroads (including 27 passenger, 160

switching and terminal, approximately 105 tourist/excursion/historical, and nearly 450 freight

railroads). This is significant given that the railroad industry affects a significant portion of the

economy, and its broad influence and magnitude pose many challenges and opportunities for the

agency. In 2010, the rail industry:

• Employed roughly 200,000 workers, who logged more than 440 million employee-

hours.

• Hauled the Nation’s freight over 683 million train-miles.

• Carried more than 578 million passengers over 17.5 billion miles.

The programs and activities in this FY 2012 request will continue to support the Nation’s

economic and mobility needs for decades to come, with efficient and effective programs and

careful stewardship of taxpayer resources.

Employee Satisfaction and Organizational Health

FRA’s safety, planning, and development responsibilities and program resources have

significantly increased. From FY 2008 to FY 2009, FRA’s appropriated program resources

increased from $1.5 billion to over $11 billion. The FY 2012 proposal requests a total of 1,000

FTE to accommodate these responsibilities. FRA reorganized and recalibrated priorities to

(1) meet staffing needs necessary to establish a new multi-year, multi-billion dollar high-speed

rail program; (2) respond to increasing levels of program transparency and oversight; and

(3) establish and validate internal controls.

Despite this unprecedented change, FRA employees, participating in the bi-annual OPM

Employee Viewpoint Survey, rated the agency as a healthy, satisfying working environment

for the third consecutive year. Placing this rating in perspective, FRA’s overall survey scores

3

have consistently surpassed both the DOT and the government-wide averages by significant

margins. In the most recent survey, FRA employees responded that they (1) have ample

opportunities to improve skills; (2) have enough information to perform their jobs well; (3) are

encouraged to be innovative; (4) have a sense of personal accomplishment in performing their

jobs; (5) like the work they are doing; (6) have a good understanding of what is expected of

them; and (7) are willing to put forth extra effort to help get an assignment or job done.

Budget Request Summary

FRA’s proposed $8.2 billion budget continues its strong safety mission, as well as the

Administration’s pledge to make targeted investments in high-speed passenger rail. These

investments will support construction of core express high-speed lines only where it makes

sense—where future population growth will lead to increasingly congested airways and

roadways (such as densely populated areas of the Northeast Corridor, California, and other

regions) and where rail competes with airline and highway trip times between major population

centers. In FY 2012, FRA requests:

Safety and Operations: $223 million and 1,083 positions (1,000.0 FTE) to fund FRA’s

salary and expense requirements, such as payroll, rent, telecommunications, information

technology, and contract support. This account also funds a number of railroad safety

activities, including monitoring compliance of Federal safety regulations throughout the

Nation’s railroad industry. In FY 2012, this account includes a proposed $80 million

railroad safety user fee designed to help offset costs associated with 399 FRA railroad

safety inspectors and related railroad safety activities.

Railroad Research and Development: $40 million to support the research agenda in

rail systems safety, human factors in train operations, rolling stock and components, track

and structures, track and train interaction, train control, grade crossings, hazardous

materials transportation, train occupant protection, facilities and test equipment, and rail

cooperative research.

National High-Performance Rail System (NHPRS): $8.046 billion in obligation

limitation for the first year of a six-year proposal to set the stage for realizing the

President’s goal of giving 80 percent of Americans convenient access to a passenger rail

system, featuring high-speed service, within 25 years. These funds are requested to

preserve and enhance America’s existing rail infrastructure and to support development

of a three-tiered passenger rail network consisting of:

1. Core express corridors that offer electric-powered service operating

primarily on dedicated track at peak speeds of 125 to 250 miles per hour

or greater, and that primarily connect major metropolitan centers in the

United States that are generally up to 500 miles apart within a three-hour

travel time;

2. Regional corridors that offer service operating on a mix of dedicated and

shared use track at peak speeds of 90 to 125 miles per hour, and that

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primarily connect mid-size urban areas to larger and smaller communities

that are generally up to 500 miles apart; and

3. Emerging corridors that are State- or regionally-designated, that offer

service operating on shared-use track at peak speeds of up to 90 miles per

hour, and that connect large, mid-sized, and small urban areas generally

less than 750 miles apart.

The FY 2012 request consolidates multiple rail development and improvement programs into

two integrated and coordinated programs: (1) Network Development and (2) System

Preservation.

• Network Development: $4.0 billion in obligation limitation is requested to plan and

develop the infrastructure, equipment, and capacity necessary to continue

implementation of the NHPRS. These initiatives focus on (1) planning and

developing core express, regional, and emerging corridors; (2) developing intermodal

stations to connect intercity passenger rail service to communities and other

transportation options; (3) facilitating the design, procurement, manufacturing, and

demand management of passenger rail equipment; and (4) delivering training and

technical assistance services to develop government and private expertise, promoting

research and development in the rail industry, and providing temporary transitional

operating support during the launch of new services and for existing State-supported

corridors.

• System Preservation: $4.046 billion in obligation limitation is requested to

(1) replace aging national rail assets and equipment that have deteriorated due to

historical underinvestment; (2) provide operating, capital, and debt resources to the

National Railroad Passenger Corporation (Amtrak) for long-distance intercity

passenger rail service and other nationally-important assets; and (3) fund state of

good repair and asset recapitalization of publicly-owned rail infrastructure and fleet.

• Previously funded Grants to the National Railroad Passenger Corporation and

Capital Assistance for High-Speed Rail Corridors and Intercity Passenger Rail

are proposed to be discontinued, with funds folded into the proposed Network

Development and System Preservation and Renewal accounts, enabling the Federal

government to take comprehensive action on rail issues. A crosswalk is provided in

Section 3.

The FY 2012 budget request changes the Federal approach to providing financial assistance for

the Nation’s existing passenger rail network, recognizing the different needs and characteristics

of the country’s three types of intercity passenger rail services:

1. State corridors1—This budget request proposes to build on the federal-state

partnership established in PRIIA by providing temporary transitional

operating grants directly to States to support the implementation of PRIIA

1 As defined in section 24102(5)(B) and (D) of title 49 of the United States Code (49 USC 24102(5)(B) and (D)).

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Section 209, which calls for fully allocating the costs of these corridors to

States. This budget request also provides States and Amtrak access to

competitive grants for capital costs on these corridors.

2. The Northeast Corridor connecting Washington, D.C., New York City, New

York, and Boston, Massachusetts—This budget request provides for

reinvestment of Amtrak’s Northeast Corridor operating surplus into capital

needs for the corridor. The request includes substantial one-time, upfront

funding to address the Northeast Corridor state of good repair backlog. This

funding will be allocated directly to Amtrak in FY 2012.

3. Long-distance routes2—This budget request provides operating and capital

grants to Amtrak to continue operating these national-priority services, but in

a separate, more transparent manner. This will allow taxpayers to understand

better the costs and benefits of long-distance routes.

Additionally, this proposal provides direct grants to Amtrak for general capital to support

national ―backbone‖ assets (such as reservations and ticketing systems and training centers),

legacy debt service, and bringing all intercity passenger rail stations into compliance with the

Americans with Disabilities Act (ADA). Thus, this proposal fully funds the activities Amtrak is

currently responsible for, while also preparing Amtrak to compete for corridor operations.

2 As defined in 49 USC 24102(5)(C).

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Organization Chart

Full-time Positions (FTP) / Full-time Equivalents (FTE)

2010 FTP/FTE 2012 FTP/FTE

HQ = Headquarters, F = Field

2010 Total: 917 FTP/ 894.5 FTE 2012 Total: 1,083 FTP/ 1,000 FTE

Office of Public Affairs

4/4.0 4/4.0

Office of Public Engagement

7/7.0 8/7.5

Office of Civil Rights

3/3.0 5/4.0

Office of Chief Counsel

4/4.0 4/4.0

Associate Administrator for Railroad Safety/Chief Safety

Officer

HQ: 15/14.0 21/18.0 F: 10/10.0 10/10.0

Associate Administrator for Financial

Management and Administration

2/2.0 2/2.0

Associate Administrator for Railroad Policy and

Development

5/5.0 5/5.0

Safety Law Division

34/33.0 35/34.5

Office of Railroad Safety Analysis

HQ: 65/62.5 80/72.5 F: 11/11.0 16/13.5

Office of Human Resources

18/18.0 19/18.5

Office of Passenger and Freight Programs

48/38.0 90/69.0

General Law Division

11/10.5 15/13.0

Office of Railroad Safety Assurance and Compliance

HQ: 61/60.5 64/62.5 F: 33/30.0 47/40.0

Office of Information Technology

13/13.0 14/13.5

Office of Acquisition and Grants Services

10/9.0 11/10.5

Offices of the Regional Administrator

R1 – Cambridge, MA R2 – Crum Lynne, PA R3 – Atlanta, GA R4 – Chicago, IL R5 – Ft Worth, TX R6 – Kansas City, MO R7 – Sacramento, CA R8 – Vancouver, WA F: 497/497.0 548/522.5

Office of Financial Management

23/21.0 25/24.0

Office of Policy

10/10.0 20/15.0

Office of Research and Development

25/24.0 31/28.0

FEDERAL RAILROAD ADMINISTRATOR

DEPUTY ADMINISTRATOR

8/8.0 9/8.5

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TECHNICAL NOTE

All surface transportation funding and spending are mandatory, attributed to the Transportation

Trust Fund, and are proposed to be subject to PAYGO. Outlays flowing from contract authority,

prior obligations of the Highway Trust Fund, baseline discretionary budget authority, and

outlays of programs merged into the Transportation Trust Fund are now classified as mandatory

and subject to PAYGO in all years. Additionally, 2010 enacted and 2011 estimated

discretionary budget authority and outlays for programs merged into the Transportation Trust

Fund are also reclassified as mandatory for comparability purposes.

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Exhibit II-1

FY 2012 NEW BUDGET RESOURCES

FEDERAL RAILROAD ADMINISTRATION ($000)

FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST

Safety and Operations 1/ 172,270 172,270 143,034

Railroad Safety Technology Program 50,000 50,000 -

Railroad Research and Development 37,613 37,613 40,000

Rail Line Relocation & Improvement Program 34,532 34,532 -

Total, Discretionary Budget Resources 294,415 294,415 183,034

Network Development (CA) (TF, Oblim) 2/ - - 4,000,000

Capital Assistance for High Speed Rail Corridors

and Intercity Passenger Rail Service (Rebased) 2/ 2,500,000 2,500,000 -

System Preservation (CA) (TF, Oblim) 2/ - - 4,046,000

Operating Grants to the National Railroad Passenger

Corporation (Rebased) 2/ 563,000 563,000 -

Capital / Debt Service Grants to the National

Railroad Passenger Corporation (Rebased) 2/ 1,001,625 1,001,625 -

Railroad Rehabilitation & Improvement Financing Fund -

Program Account 18,441 23,692 -

Railroad Rehabilitation & Improvement Financing Fund -

Liquidating Account (3,324) (3,465) (113)

Total, Mandatory Budget Resources 4,079,742 4,084,852 8,045,887

TOTAL BUDGET RESOURCES 4,374,157 4,379,267 8,228,921

Notes:

2. In FY 2012, FRA has realigned all passenger rail program activities and resources. As a result, all resources

previously provided under Capital Assistance for High-Speed Rail Corridors and Intercity Passenger Rail Service,

Operating Grants to the National Railroad Passenger Corporation, and the Capital and Debt Services Grants to the National

Railroad Passenger Corporation accounts are proposed to be consolidated under the new National Rail System. These

resources w ill be distributed betw een tw o new accounts: (1) Netw ork Development and (2) System Preservation.

Funds w ill be available for competitive and non-competitive f inancial assistance.

The Capital Assistance for High-Speed Rail Corridors and Intercity Passenger Rail Service, Operating Grants to the

National Railroad Passenger Corporation, and the Capital and Debt Services Grants to the National Railroad Passenger

Corporation accounts w ere previously f inanced w ith discretionary, General Fund budget authority. In FY 2012, these

activities w ill be f inanced w ith mandatory contract authority, out of a new dedicated Rail Account of the Transportatsion

Trust Fund (formerly the Highw ay Trust Fund).

1. FRA proposes a provision allow ing user fee collections of $80 million to be credited to the Safety and Operations

appropriation as offsetting collections, thereby reducing the amount appropriated and the budget authority.

9

Exhibit II-2

FY 2012 TOTAL BUDGETARY RESOURCES BY APPROPRIATIONS ACCOUNT

FEDERAL RAILROAD ADMINISTRATION Appropriations, Obligation Limitations, and Exempt Obligations

($000)

FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST

Safety and Operations 172,270 172,270 223,034

Salaries and Expenses 170,734 170,734 141,445

Off-setting collections (Rail Safety User Fees) 1/ - - 80,000

Contract Support 572 572 608

Alaska Railroad Liabilities 964 964 981



Railroad System Issues 3,623 3,623 4,010

Human Factors 3,270 3,270 3,670

Rolling Stock and Components 3,000 3,000 3,000

Track and Structures 5,450 5,450 5,450

Track and Train Interaction 3,600 3,600 3,800

Train Control 7,870 7,870 8,270

Grade Crossings 2,100 2,100 2,200

Hazardous Materials Transportation 1,550 1,550 1,550

Train Occupant Protection 4,600 4,600 4,700

R&D Facilities and Test Equipment 2,550 2,550 2,850

Rail Cooperative Research Program - - 500


Rail Line Relocation 10,013 34,532 -

Blue Ridge & KC Southern Railroad Rail Line Rehabilitation &

Improvement, MO 800 - -

Detroit/Wayne County Port Authority Rail Access Improvement

Program, MI 500 - -

Grade Crossing Mitigation, Galesburg, IL 2,922 - -

Grade Separated Railroad Crossing, TX 500 - -

Hoquiam Horn Spur Railroad Track Improvement Project, WA 350 - -

Industrial Park Rail Project, Greene County, AL 400 - -

MN Valley Regional Rail Authority Rehabilitation Project, MN 1,000 - -

North Rail Relocation Project, Cameron County, TX 400 - -

Ogden Avenue Grade Separation, Aurora, IL 1,000 - -

Port of Alexandria Rail Spur, City of Alexandria, LA 487 - -

Port of Monroe Dock & Industrial Park, Monroe County, IL 500 - -

Rail Safety Improvements, Tualatin, OR 250 - -

Rail Safety Upgrades, Coos Cty, NH 800 - -

Rail Spur Extension, Greater Ouachita Parish, LA 2,000 - -

Railroad Overpass, Blytheville, AR 500 - -

Railway-Highway Grade Crossing Mitigation, Northeastern IL 1,948 - -

ACCOUNT NAME

10

Exhibit II-2 (cont’d)

FY 2012 TOTAL BUDGETARY RESOURCES BY APPROPRIATIONS ACCOUNT

FEDERAL RAILROAD ADMINISTRATION Appropriations, Obligation Limitations, and Exempt Obligations

($000)

FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST

Sacramento Intermodal Terminal Facility Track Reloc., CA 750 - -

Shelby Intermodal Hub, MT 974 - -

Short Line Rehabilitation, Salem , NJ 750 - -

South Orient Rail Line Rehabilitation in San Angelo, TX 1,000 - -

South Orient Rail Line Rehabilitation, TX 1,000 - -

Southern Rail Corridor, MN 487 - -

Springfield Rail Relocation, IL 250 - -

Transbay Transit Center, San Francisco, CA 750 - -

Waterfront Rail Reconstruction Project, Kawasaki SWIMO, NY 779 - -

West Freight Access Project, Fort of Vancouver, WA 2,922 - -

West Wye Rail Line Relocation, City of Springfield, MO 500 - -

Network Development (Obligation Limitation) 2/ - - 4,000,000

Capital Assistance for High Speed Rail Corridors and Intercity

Passenger Rail Service 2/ 2,500,000 2,500,000 -

- - 4,046,000


Corporation 2/ 563,000 563,000 -

Capital / Debt Service Grants to the National Railroad

Passenger Corporation 2/ 1,001,625 1,001,625 -

TOTAL 4,359,040 4,359,040 8,309,034

2. In FY 2012, FRA has realigned all passenger rail program activities and resources. As a result, all resources previously provided

under Capital Assistance for High-Speed Rail Corridors and Intercity Passenger Rail Service, Operating Grants to the National Railroad

Passenger Corporation, and the Capital and Debt Services Grants to the National Railroad Passenger Corporation accounts are

proposed to be consolidated under the new National Rail System. These resources w ill be distributed betw een tw o new accounts:

(1) Netw ork Development and (2) System Preservation. Funds w ill be available for competitive and non-competitive f inancial

assistance.

The Capital Assistance for High-Speed Rail Corridors and Intercity Passenger Rail Service, Operating Grants to the National Railroad

Passenger Corporation, and the Capital and Debt Services Grants to the National Railroad Passenger Corporation accounts w ere

previously f inanced w ith discretionary, General Fund budget authority. In FY 2012, these activities w ill be f inanced w ith mandatory

contract authority, out of a new dedicated Rail Account of the Transportatsion Trust Fund (formerly the Highw ay Trust Fund).

1. FRA proposes a provision allow ing user fee collections of $80 million to be credited to the Safety and Operations appropriation as

offsetting collections, thereby reducing the amount appropriated and the budget authority.

ACCOUNT NAME

Notes:

System Preservation (Obligation Limitation)2/

11

Exhibit II-3

FY 2012 BUDGET REQUEST BY DOT STRATEGIC AND ORGANIZATIONAL GOALS


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184,483 5,575 3,616 5,398 10,409 13,552 223,034

0 - - - - - 0

Railroad Research and Development 29,335 2,762 5,256 0 2,647 0 40,000

A. Track Research 9,195 0 2,218 0 1,187 0 12,600

Track & Structures 3,815 - 1,363 - 272 - 5,450

Track & Train Interaction 3,420 - - - 380 - 3,800

R&D Facilities & Test Equipment (TTCI (F) 1,710 - 855 - 285 - 2,850

Rail Cooperative Research Program 250 - - - 250 - 500

B. Equipment & Operating Practices 12,397 2,762 1,771 0 0 0 16,930

Human Factors 3,670 - - - - - 3,670

Rolling Stock & Components 2,100 - 900 - - - 3,000

Hazardous Materials Transportation 1,395 155 - - - - 1,550

Train Occupant Protection 4,230 - 470 - - - 4,700

Railroad Systems Issues 1,002 2,607 401 - - - 4,010

C. Signals, Train Control & Communication 7,743 0 1,267 0 1,460 0 10,470

Train Contol 6,203 - 827 - 1,240 - 8,270

Grade Crossings 1,540 - 440 - 220 - 2,200

Network Development (CA) (TF) 362,500 1,001,330 0 720,660 1,711,390 204,120 4,000,000

High-Speed Corridor Development 313,700 846,990 - 564,660 1,411,650 - 3,137,000

Station Development 9,600 74,400 - 156,000 - - 240,000

U.S. Rail Equipment Development 39,200 68,600 - - 137,200 - 245,000

Capacity Building & Transition Assistance - 11,340 - - 162,540 204,120 378,000

System Preservation (CA) (TF) 560,760 459,300 1,170,840 950,620 767,380 137,100 4,046,000

Amtrak Operating & Capital - - - - - - 0

Public Asset Capital Backlog Retirement 536,760 298,200 1,103,340 626,220 417,480 - 2,982,000

National Network Service - 137,100 - 319,900 319,900 137,100 914,000

State-of-Good Repair & Recapitalization 24,000 24,000 67,500 4,500 30,000 - 150,000

Total FY 2012 Request 1,137,078 1,468,967 1,179,712 1,676,678 2,491,826 354,772 8,309,034

FTE (Direct) 428.5 28.0 18.0 28.0 50.0 78.0 630.5

FTE (Reimbursable - Safety User Fee) 369.5 369.5

Notes:

1/ The Safety and Operations appropriation is FRA's salaries and expenses account. Funds in this account w ere allocated in the follow ing manner. For salaries and

expenses associated w ith staff w hose w ork is directly associated w ith achieving strategic and/or organizational goals, funds w ere directly allocated to these goals. For

salaries and expenses of staff w hose w ork is not directly associated w ith achieving any strategic and/or organizational goal, funds w ere allocated to goals on a pro-rata

basis of total program dollars. For common services costs, funds w ere allocated to goals on a pro-rata basis of total FTE.

Safety and Operations 1/

Railroad Safety Technology Program

12

Exhibit II-3a

FY 2012 BUDGET REQUEST BY DOT OUTCOMES


DOT OUTCOME PROGRAM 1/

FY 2012

REQUEST

SAFETY 1,109,333$

629,664$

Salaries & Expenses: Safety and Operations 154,728

Passenger & Freight: Network Development 181,250

Passenger & Freight: System Preservation 280,380

Research & Development (R&D): Track Research 2,995

R&D: Equipment & Operating Practices 7,970

R&D: Signals, Train Control, & Communications 2,341

479,669$

Salaries & Expenses: Safety and Operations 2,010



R&D: Track Research 6,200


R&D: Signals, Train Control, & Communications 5,402

Other -$

ENVIRONMENTAL SUSTAINABILITY 1,466,800$

656,301$

Salaries & Expenses: Safety and Operations 1,489$




317,729$

Salaries & Expenses: Safety and Operations 861$




314,699$




R&D: Equipment & Operating Practices 602

178,071$




Other -$

GOOD REPAIR 1,178,123$

LIVABLE COMMUNITIES 1,674,338$

563,864$




Notes:

Reduced carbon/emissions and

dependence on fossil fuels and

improved energy efficiency

Reduced pollution impacts on

ecosystems

Environmentally sustainable practices

and materials in transportation

Environmentally sustainable practices

in DOT services and facilities

Convenient and affordable choices

Improved safety experience

Reduction in injuries and fatalities

1/ The Safety and Operations appropriation is FRA's salaries and expenses account. Funds in this account w ere allocated in the follow ing manner.

For salaries and expenses associated w ith staff w hose w ork is directly associated w ith achieving strategic and/or organizational goals, funds w ere

directly allocated to these goals. These funds w ere further distributed to outcomes on a pro-rata basis of total program dollars associated w ith the

outcome. For salaries and expenses of staff w hose w ork is not directly associated w ith achieving any strategic and/or organizational goal and for

common services costs, funds w ere displayed as overhead.

13

Exhibit II-3a (cont’d)

FY 2012 BUDGET REQUEST BY DOT OUTCOMES


DOT OUTCOME PROGRAM 1/

FY 2012

REQUEST

305,694$




146,721$




658,060$




Other

ECONOMIC COMPETITIVENESS 2,488,067$

582,993$




R&D: Track Research 826

R&D: Signals, Train Control, & Communications 634

1,270,757$




R&D: Track Research 361

R&D: Signals, Train Control, & Communications 826

110,984$




523,333$




Other

ORGANIZATIONAL EXCELLENCE 351,853$

351,853$


Passenger & Freight: Network Development 204,120$

Passenger & Freight: System Preservation 137,100$

OVERHEAD PROGRAMS/FUNCTIONS

DISTRIBUTED TO PROGRAMS Salaries & Expenses: Safety and Operations 40,520$

TOTAL 8,309,034$

Notes:

Improved public transit experience

Improved networks that accommodate

pedestrians and bicycles

Improved access for special needs

populations

Expanded opportunities for business

Advance U.S. transportation interests

abroad

Competitive transportation system

Maximize economic returns

1/ The Safety and Operations appropriation is FRA's salaries and expenses account. Funds in this account w ere allocated in the follow ing manner.

For salaries and expenses associated w ith staff w hose w ork is directly associated w ith achieving strategic and/or organizational goals, funds w ere

directly allocated to these goals. These funds w ere further distributed to outcomes on a pro-rata basis of total program dollars associated w ith the

outcome. For salaries and expenses of staff w hose w ork is not directly associated w ith achieving any strategic and/or organizational goal and for

common services costs, funds w ere displayed as overhead.

14

Exhibit II-4

FY 2012 BUDGET AUTHORITY


FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST


Salaries and Expenses 170,734 170,734 141,445





Railroad System Issues 3,623 3,623 4,010

Human Factors 3,270 3,270 3,670

Rolling Stock and Components 3,000 3,000 3,000

Track and Structures 5,450 5,450 5,450

Track and Train Interaction 3,600 3,600 3,800

Train Control 7,870 7,870 8,270

Grade Crossings 2,100 2,100 2,200

Hazardous Materials Transportation 1,550 1,550 1,550

Train Occupant Protection 4,600 4,600 4,700

R&D Facilities and Test Equipment 2,550 2,550 2,850

Rail Cooperative Research Program - - 500


Rail Line Relocation 10,013 34,532 -


Improvement, MO 800 - -

Detroit/Wayne County Port Authority Rail Access Improvement

Program, MI 500 - -

Grade Crossing Mitigation, Galesburg, IL 2,922 - -

Grade Separated Railroad Crossing, TX 500 - -

Hoquiam Horn Spur Railroad Track Improvement Project, WA 350 - -

Industrial Park Rail Project, Greene County, AL 400 - -

MN Valley Regional Rail Authority Rehabilitation Project, MN 1,000 - -

North Rail Relocation Project, Cameron County, TX 400 - -

Ogden Avenue Grade Separation, Aurora, IL 1,000 - -

Port of Alexandria Rail Spur, City of Alexandria, LA 487 - -

Port of Monroe Dock & Industrial Park, Monroe County, IL 500 - -

Rail Safety Improvements, Tualatin, OR 250 - -

Rail Safety Upgrades, Coos Cty, NH 800 - -

Rail Spur Extension, Greater Ouachita Parish, LA 2,000 - -

Railroad Overpass, Blytheville, AR 500 - -

Railway-Highway Grade Crossing Mitigation, Northeastern IL 1,948 - -

ACCOUNT NAME

15


FY 2012 BUDGET AUTHORITY


FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST

Sacramento Intermodal Terminal Facility Track Reloc., CA 750 - -

Shelby Intermodal Hub, MT 974 - -

Short Line Rehabilitation, Salem , NJ 750 - -

South Orient Rail Line Rehabilitation in San Angelo, TX 1,000 - -

South Orient Rail Line Rehabilitation, TX 1,000 - -

Southern Rail Corridor, MN 487 - -

Springfield Rail Relocation, IL 250 - -

Transbay Transit Center, San Francisco, CA 750 - -

Waterfront Rail Reconstruction Project, Kawasaki SWIMO, NY 779 - -

West Freight Access Project, Fort of Vancouver, WA 2,922 - -

West Wye Rail Line Relocation, City of Springfield, MO 500 - -

Network Development (CA) (TF) 2/ - - 4,000,000


Passenger Rail Service 2/ 2,500,000 2,500,000 -

- - 4,046,000


Corporation 2/ 563,000 563,000 -


Passenger Corporation 2/ 1,001,625 1,001,625 -

18,441 23,692 -

(3,324) (3,465) (113)

TOTAL 4,374,157 4,379,267 8,228,921

Mandatory 4,079,742 4,084,852 8,045,887

Discretionary 294,415 294,415 183,034

RR Rehab & Improvement Financing Fund - Program Account

Notes:

ACCOUNT NAME

1. FRA proposes a provision allow ing user fee collections of $80 million to be credited to the Safety and Operations appropriation as


RR Rehab & Improvement Financing Fund - Liquidating

Account

System Preservation (CA) (TF) 2/





(1) Netw ork Development and (2) System Preservation. Funds w ill be available for competitive and non-competitive f inancial

assistance.





16

Exhibit II-5

FY 2012 OUTLAYS


FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST


Railroad Safety Technology Program - 30,000 50,000


Rail Line Relocation & Improvement Program 307 56,899 39,632

Network Development (CA) (TF) 2/ - - 635,580

Capital Assistance for High Speed Rail Corridors and

Intercity Passenger Rail Service (Rebased) 2/ 1,355 22,500 112,750

System Preservation (CA) (TF)2/ - - 2,252,500


Corporation (Rebased) 2/ 563,000 563,000 -


Passenger Corporation (Rebased) 2/ 917,614 1,089,261 -

Capital Grants to the National Railroad Passenger

Corporation (ARRA)

884,864 322,782 -

Capital Assistance for High Speed Rail Corridors and

Intercity Passenger Rail Service (ARRA)

14,816 922,238 1,002,250

Notes:

2. In FY 2012, FRA has realigned all passenger rail program activities and resources. As a result, all resources previously

provided under Capital Assistance for High-Speed Rail Corridors and Intercity Passenger Rail Service, Operating Grants to

the National Railroad Passenger Corporation, and the Capital and Debt Services Grants to the National Railroad Passenger

Corporation accounts are proposed to be consolidated under the new National Rail System. These resources w ill be

distributed betw een tw o new accounts: (1) Netw ork Development and (2) System Preservation. Funds w ill be available

for competitive and non-competitive f inancial assistance.

The Capital Assistance for High-Speed Rail Corridors and Intercity Passenger Rail Service, Operating Grants to the National

Railroad Passenger Corporation, and the Capital and Debt Services Grants to the National Railroad Passenger Corporation

accounts w ere previously f inanced w ith discretionary, General Fund budget authority. In FY 2012, these activities w ill be

f inanced w ith mandatory contract authority, out of a new dedicated Rail Account of the Transportatsion Trust Fund

(formerly the Highw ay Trust Fund).

1. FRA proposes a provision allow ing user fee collections of $80 million to be credited to the Safety and Operations


17


FY 2012 OUTLAYS


FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST

Intercity Passenger Rail Grant Program 10,274 18,000 60,000

Emergency Railroad Rehabilitation and Repair 8,411 11,589 -

Efficiency Incentive Grants to the National Railroad

Passenger Corporation

21,562 - -

Grants to the National Railroad Passenger Corporation 3,385 5,627 -

Alaska Railroad Rehabilitation 492 47 -

Next Generation High-Speed Rail 3,416 9,052 8,739

Northeast Corridor Improvement Program - 6,052 -

Pennsylvania Station Redevelopment Project - 4,805 23,931

Railroad Rehabilitation and Improvement Program -

Program Account

18,441 23,692 -

Railroad Rehabilitation and Improvement Program -

Liquidating Account

-3,324 -3,465 -113

Total 2,671,135 3,354,519 4,402,339

[Discretionary] 1,175,404 1,659,531 1,401,622

[Mandatory] 1,495,731 1,694,988 3,000,717

18

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2011 C

R

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m

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qu

est

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ail

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ment

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ssis

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No

tes:

1. In

FY

2012, FR

A h

as r

ealig

ned a

ll passenger

rail

pro

gra

m a

ctiv

ities a

nd r

esourc

es. A

s a

result,

all

resourc

es p

revio

usly

pro

vid

ed u

nder

Capita

l Assis

tance f

or

Hig

h-S

peed R

ail

Corr

idors

and In

terc

ity P

assenger

Rail

Serv

ice, O

pera

ting G

rants

to the N

atio

nal

Railr

oad P

assenger

Corp

ora

tion, and the C

apita

l and D

ebt S

erv

ices G

rants

to the N

atio

nal R

ailr

oad P

assenger

Corp

ora

tion a

ccounts

are

pro

posed to b

e c

onsolid

ate

d u

nder

the n

ew

Natio

nal R

ail

Syste

m in

itiativ

e. T

hese r

esourc

es w

ill b

e d

istr

ibute

d b

etw

een tw

o n

ew

accounts

: (

1)

Netw

ork

Develo

pm

ent and (

2)

Syste

m P

reserv

atio

n. F

unds w

ill b

e a

vaila

ble

for

com

petit

ive a

nd n

on-c

om

petit

ive f

inancia

l assis

tance.

The C

apita

l Assis

tance f

or

Hig

h-S

peed R

ail

Corr

idors

and In

terc

ity P

assenger

Rail

Serv

ice, O

pera

ting G

rants

to the N

atio

nal R

ailr

oad P

assenger

Corp

ora

tion, and the C

apita

l and D

ebt S

erv

ices G

rants

to the N

atio

nal R

ailr

oad P

assenger

Corp

ora

tion a

ccounts

were

pre

vio

usly

fin

anced w

ith d

iscre

tionary

, G

enera

l Fund b

udget auth

ority

. In

FY

2012, th

ese a

ctiv

ities w

ill b

e f

inanced w

ith m

andato

ry c

ontr

act auth

ority

, out of

a n

ew

dedic

ate

d R

ail

Account of

the T

ransport

ats

ion T

rust Fund (

form

erly the H

ighw

ay T

rust Fund).

NE

TW

OR

K D

EV

EL

OP

ME

NT

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bli

ga

tio

n L

imit

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on

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MM

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Y O

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EQ

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ED

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ND

ING

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AS

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pt

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lig

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on

s

($000)

22

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ibit

II-

6 (

con

t’d

)

FY

2010

Actu

al

Re

dir

ecte

d

Fu

nd

s

FY

2011 C

R

An

nu

ali

ze

d

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nu

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za

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of

2011 F

TE

2012 P

ay

Ra

ise

s

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le

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nt

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cre

ase

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ati

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/

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fla

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n

FY

2012

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seli

ne

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te

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ase

s

FY

2012

Re

qu

est

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OU

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ES

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PR

OG

RA

MS

Capital A

ssis

tance for

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h S

peed

Rail

Corr

idors

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rcity

Passenger

Rail

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2,5

00,0

00

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No

tes:

1. In

FY

2012, FR

A h

as r

ealig

ned a

ll passenger

rail

pro

gra

m a

ctiv

ities a

nd r

esourc

es. A

s a

result,

all

resourc

es p

revio

usly

pro

vid

ed u

nder

Capita

l Assis

tance f

or

Hig

h-S

peed R

ail

Corr

idors

and In

terc

ity P

assenger

Rail

Serv

ice, O

pera

ting G

rants

to the N

atio

nal

Railr

oad P

assenger

Corp

ora

tion, and the C

apita

l and D

ebt S

erv

ices G

rants

to the N

atio

nal R

ailr

oad P

assenger

Corp

ora

tion a

ccounts

are

pro

posed to b

e c

onsolid

ate

d u

nder

the n

ew

Natio

nal R

ail

Syste

m in

itiativ

e. T

hese r

esourc

es w

ill b

e d

istr

ibute

d b

etw

een tw

o

new

accounts

: (

1)

Netw

ork

Develo

pm

ent and (

2)

Syste

m P

reserv

atio

n. F

unds w

ill b

e a

vaila

ble

for

com

petit

ive a

nd n

on-c

om

petit

ive f

inancia

l assis

tance.

The C

apita

l Assis

tance f

or

Hig

h-S

peed R

ail

Corr

idors

and In

terc

ity P

assenger

Rail

Serv

ice, O

pera

ting G

rants

to the N

atio

nal R

ailr

oad P

assenger

Corp

ora

tion, and the C

apita

l and D

ebt S

erv

ices G

rants

to the N

atio

nal R

ailr

oad P

assenger

Corp

ora

tion a

ccounts

were

pre

vio

usly

fin

anced w

ith d

iscre

tionary

, G

enera

l Fund b

udget auth

ority

. In

FY

2012, th

ese a

ctiv

ities w

ill b

e f

inanced w

ith m

andato

ry c

ontr

act auth

ority

, out of

a n

ew

dedic

ate

d R

ail

Account of

the T

ransport

ats

ion T

rust Fund (

form

erly the H

ighw

ay T

rust Fund).

CA

PIT

AL

AS

SIS

TA

NC

E F

OR

HIG

H S

PE

ED

RA

IL C

OR

RID

OR

S A

ND

IN

TE

RC

ITY

PA

SS

EN

GE

R R

AIL

SE

RV

ICE

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MM

AR

Y O

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EQ

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ST

ED

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ND

ING

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GE

S F

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AD

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n L

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pt

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lig

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on

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23

Exh

ibit

II-

6 (

con

t’d

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FY

2010

Actu

al

Re

dir

ecte

d

Fu

nd

s

FY

2011 C

R

An

nu

ali

ze

d

An

nu

ali

za

tio

n

of

2011 F

TE

2012 P

ay

Ra

ise

s

On

e L

ess

Co

mp

en

s

ab

le D

ay

GS

A

Re

nt

WC

F

Incre

ase

/

De

cre

ase

Infl

ati

on

/

De

fla

tio

n

FY

2012

Ba

seli

ne

Est

ima

te

Pro

gra

m

Incre

ase

s/

De

cre

ase

s

FY

2012

Re

qu

est

PE

RS

ON

NE

L R

ES

OU

RC

ES

Direct

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0.0

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AN

CIA

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ices

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16

38,4

44

48,4

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nts

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ubsid

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nd C

ontr

ibutions

1,5

54,6

09

1,5

54,6

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OG

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MS

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trak O

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ting a

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apital

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25

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79,6

25

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Public

Asset

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g R

etire

ment

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00

285,0

00

-

-

-

-

-

-

285,0

00

2,6

97,0

00

2,9

82,0

00

National N

etw

ork

Serv

ice

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-

-

-

-

-

-

-

-

914,0

00

914,0

00

Sta

te o

f G

ood R

epair a

nd R

ecapitaliz

ation

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-

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-

-

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-

-

-

150,0

00

150,0

00

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tal

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rog

ram

1,5

64,6

25

01,5

64,6

25

00

00

00

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64,6

25

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81,3

75

4,0

46,0

00

No

tes:

1. In

FY

2012, FR

A h

as r

ealig

ned a

ll passenger

rail

pro

gra

m a

ctiv

ities a

nd r

esourc

es. A

s a

result,

all

resourc

es p

revio

usly

pro

vid

ed u

nder

Capita

l Assis

tance f

or

Hig

h-S

peed R

ail

Corr

idors

and In

terc

ity P

assenger

Rail

Serv

ice, O

pera

ting G

rants

to the N

atio

nal

Railr

oad P

assenger

Corp

ora

tion, and the C

apita

l and D

ebt S

erv

ices G

rants

to the N

atio

nal R

ailr

oad P

assenger

Corp

ora

tion a

ccounts

are

pro

posed to b

e c

onsolid

ate

d u

nder

the n

ew

Natio

nal R

ail

Syste

m in

itiativ

e. T

hese r

esourc

es w

ill b

e d

istr

ibute

d b

etw

een tw

o

new

accounts

: (

1)

Netw

ork

Develo

pm

ent and (

2)

Syste

m P

reserv

atio

n. F

unds w

ill b

e a

vaila

ble

for

com

petit

ive a

nd n

on-c

om

petit

ive f

inancia

l assis

tance.

The C

apita

l Assis

tance f

or

Hig

h-S

peed R

ail

Corr

idors

and In

terc

ity P

assenger

Rail

Serv

ice, O

pera

ting G

rants

to the N

atio

nal R

ailr

oad P

assenger

Corp

ora

tion, and the C

apita

l and D

ebt S

erv

ices G

rants

to the N

atio

nal R

ailr

oad P

assenger

Corp

ora

tion a

ccounts

were

pre

vio

usly

fin

anced w

ith d

iscre

tionary

, G

enera

l Fund b

udget auth

ority

. In

FY

2012, th

ese a

ctiv

ities w

ill b

e f

inanced w

ith m

andato

ry c

ontr

act auth

ority

, out of

a n

ew

dedic

ate

d R

ail

Account of

the T

ransport

ats

ion T

rust Fund (

form

erly the H

ighw

ay T

rust Fund).

SY

ST

EM

PR

ES

ER

VA

TIO

N (

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25

Exhibit II-7

WORKING CAPITAL FUND

Federal Railroad Administration ($000)

FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST

CHANGE

FY 2010 -

FY 2012

DIRECT:

Safety and Operations 6,209 6,893 11,604 5,395

SUBTOTAL 6,209 6,893 11,604 5,395

REIMBURSABLE:

0 0 0 0

SUBTOTAL 0 0 0 0

TOTAL 6,209 6,893 11,604 5,395

26

Exhibit II-8

FEDERAL RAILROAD ADMINISTRATION PERSONNEL RESOURCE – SUMMARY

TOTAL FULL-TIME EQUIVALENTS (FTE)

FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST

Safety and Operations 1/ 840.0 917.0 630.5

SUBTOTAL, DIRECT FUNDED 840.0 917.0 630.5

Reimbursements and 'Other' 1/ 0.0 0.0 369.5

Allocations from other Organizations 0.0 0.0 0.0

SUBTOTAL, REIMBURSE/ALLOC./OTH 0.0 0.0 369.5

840.0 917.0 1,000.0

INFO:

Allocation to Other Agencies 0.0 0.0 0.0

Notes:1. FRA proposes a provision allow ing user fee collections of $80 million to be credited to the Safety and Operations


DIRECT FUNDED BY APPROPRIATION

REIMBURSEMENTS/ALLOCATIONS/OTHER:

TOTAL FTE

27

Exhibit II-9

FEDERAL RAILROAD ADMINISTRATION PERSONNEL RESOURCE – SUMMARY

FULL-TIME PERMANENT POSITIONS (FTP)

FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST

Safety and Operations 1/ 917 917 684

SUBTOTAL, DIRECT FUNDED 917 917 684

Reimbursements and 'Other' 1/ 0 0 399

Allocations from other Organizations 0 0 0

SUBTOTAL, REIMBURSE/ALLOC./OTH 0 0 399

917 917 1,083

INFO:

Allocation to Other Agencies 0 0 0

Notes:1. FRA proposes a provision allow ing user fee collections of $80 million to be credited to the Safety and Operations


DIRECT FUNDED BY APPROPRIATION

REIMBURSEMENTS/ALLOCATIONS/OTHER:

TOTAL POSITIONS

28

Exhibit II-10


SURFACE TRANSPORTATION AUTHORIZATION PROPOSAL NATIONAL HIGH PERFORMANCE RAIL SYSTEM

Proposed Contract Authority, FY 2012 through FY 2017

($ in millions)

FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 TOTAL


Network Development 4,000 4,967 6,002 7,242 7,532 7,867

System Preservation and Renewal 4,046 2,479 2,504 1,864 2,024 2,063 $14,980

National Railroad Passenger Corporation (Amtrak)

Operating Grants

Capital and Debt Service Grants - - - - - - -

Capital Assistance for High-Speed Rail Corridors and

Intercity Passenger Rail Service - - - - - - -

TOTAL – NATIONAL HIGH PERFORMANCE RAIL

SYSTEM 8,046 7,446 8,506 9,106 9,556 9,930 $52,590

$37,610

- - - - - - -

29



SAFETY AND OPERATIONS APPROPRIATIONS

LANGUAGE

[FEDERAL RAILROAD OPERATIONS]SAFETY AND OPERATIONS

For necessary expenses of the Federal Railroad Administration, not

otherwise provided for, [$153,846,000]$223,034,000, of which

[$5,492,000]$36,658,000 shall remain available until expended and of

which [$50,000,000]$80,000,000 shall be derived from railroad safety

fees collected in fiscal year [2011]2012, as provided in this Act:

Provided, That such railroad safety fees shall be credited as an offsetting

collection to this account, of which $24,047,000 [to]shall remain

available until expended for railroad safety activities: Provided further,

That the sum herein appropriated from the general fund shall be reduced

on a dollar-for-dollar basis as such offsetting collections are received

during fiscal year [2011]2012, so as to result in a final appropriation from

the general fund estimated at [$103,846,000]$143,034,000.

30

Exhibit III-1

SAFETY AND OPERATIONS

Summary by Program Activity Appropriations, Obligation Limitations, and Exempt Obligations

($000)

PROGRAM AND PERFORMANCE LANGUAGE

Funds requested in the Safety and Operations account funds FRA’s management and

administrative costs in the following activities:

Salaries and expenses - Provides support for administrative and operating activities related to

FRA personnel and programs.

Contract support - Provides support for policy-oriented economic, industry, and systems

analysis.

Alaska Railroad Liabilities - Provides reimbursement to the Department of Labor for

compensation payments to former Federal employees of the Alaska Railroad employed

during the period of Federal ownership and support for clean-up activities at hazardous waste

sites located at properties once owned by the FRA. The 2012 request is for workers’

compensation.

In the FRA Administrative Provisions, the Budget includes language to implement a rail safety

user fee. The fee is meant to recoup the cost of FRA rail safety inspectors. The fee would be

phased-in starting in 2012, and fee collections would increase in subsequent years.

FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST

CHANGE

FY 2010-2012

Salaries and Expenses $170,734 $170,734 141,445 (29,289)

Contract Support 572 572 608 36

Alaska Railroad Liabilities 964 964 981 17

Subtotal 172,270 172,270 143,034 (29,236)

Off-setting collections (Rail Safety User Fees) 1/- - 80,000 80,000

TOTAL 172,270 172,270 223,034 50,764

Positions

Direct Funded 917 917 684 (233)

Reimbursable, Allocated, Other - - 399.0 399

Total FTP 917 917 1,083 166

FTE

Direct Funded 894.5 917.0 630.5 (286.5)

Reimbursable, Allocated, Other - 0.0 369.5 369.5

Total FTE 894.5 917.0 1,000.0 83.0

Notes:

1/ FRA proposes a provision allow ing user fee collections of $80 million to be credited to the Safety and Operations appropriation as


31

Exhibit III-1a


Summary Analysis of Change from FY 2010 Actual to FY 2012 Appropriation, Obligation Limitations, and Exempt Obligations

($000)

Item FTE ($000)

DIRECT:

FY 2010 Actual 894.5 172,270

Redirected Funds:

Annualization of FY 2010 FTE 22.5 3,499

GSA Rent Increase 0.0 88

WCF Increase 0.0 684

Offset from Travel 0.0 (1,749)

Offset from Contracts 0.0 (2,522)

Subtotal, Redirected Funds 22.5 0

FY 2011 CR ANNUALIZED 917.0 172,270

Baseline Changes:

Annualization of FY 2011 FTE - 0

FY 2012 Comparability Pay Increase (0.0%) - 0

One Less Compensable Day - (448)

Non-Pay Inflation (0.5%) - 358

GSA Rent - 242

WCF - 4,711

Subtotal, Baseline Changes 0.0 4,863

Transfers to Rail Safety User Fee (Reimbursable):

Transfer of Rail Safety Inspector FTE from base to Rail Safety User Fee (340.0) (45,220)

Transfer of Rail Safety Inspector Travel from base to Rail Safety User Fee 0.0 (4,583)

Transfer of Rail Safety contracts (ATIP, RSIS, etc.) from base to Rail Safety User Fee 0.0 (15,028)

Subtotal, Transfers to Rail Safety User Fee (Reimbursable) (340.0) (64,831)

Program Changes:

Salaries and Expenses

Personnel Increases 53.5 9,613

Financial Management Business Transformation: Data Migration Preparation 0.0 3,000

Financial Management Business Transformation: One DOT Procurement-Delphi Integration 0.0 3,500

Risk Reduction Program 0.0 3,325

Crossing Safety & Trespasser Prevention 0.0 3,315

RSIA and Other Contract Increases 0.0 5,246

Acquisition of additional HQ Space/Buildout 0.0 2,500

mDOT Secure Remote Access 0.0 179

Subtotal, Salaries and Expenses 53.5 30,678

Contract Support 0.0 33

Alaska Railroad 0.0 21

Subtotal, Direct Funding 630.5 143,034

Change from

FY 2010 to FY 2012

32

Exhibit III-1a (cont’d)


Summary Analysis of Change from FY 2010 Actual to FY 2012 Appropriation, Obligation Limitations, and Exempt Obligations

($000)

Item FTE ($000)

REIMBURSABLE:

FY 2010 Off-setting Collections (Rail Safety User Fees) 1/ 0.0 0

Baseline Changes:

Annualization of FY 2011 Comparability Pay Increase (0.0%) - 0

FY 2012 Comparability Pay Increase (0.0%) - 0

One Less Compensable Day - 0

Non-Pay Inflation (0.5%) - 0

GSA Rent - 0

WCF - 0

Subtotal, Adjustments to Base 0.0 0

Transfers from Direct Funding to Rail Safety User Fee:

Transfer of Rail Safety Inspector FTE from base to Rail Safety User Fee 340.0 45,220

Transfer of Rail Safety Inspector Travel from base to Rail Safety User Fee 0.0 4,583

Transfer of Rail Safety contracts (ATIP, RSIS, etc.) from base to Rail Safety User Fee 0.0 15,028

Subtotal, Transfers from Direct Funding to Rail Safety User Fee 340.0 64,831

Program Changes:

Salaries & Expenses

Office of Railroad Safety

Rail Safety Inspector personnel increases 29.5 7,178

Automated Track Inspection Program 0.0 5,840

Railroad Safety Information System 0.0 2,151

Subtotal, Program Changes 29.5 15,169

Subtotal, Reimbursable Funding 369.5 80,000

TOTAL FY 2012 REQUEST 1,000.0 223,034

Notes:1/ FRA proposes a provision allow ing user fee collections of $80 million to be credited to the Safety and Operations appropriation as offsetting

collections, thereby reducing the amount appropriated and the budget authority.

Change from

FY 2010 to FY 2012

33

Exhibit III-2

ANNUAL PERFORMANCE RESULTS AND TARGETS

FEDERAL RAILROAD ADMINISTRATION SAFETY AND OPERATIONS

The Federal Railroad Administration integrates performance results into its budget request to

align with the Department of Transportation’s Strategic Plan.

Safety – Reduction in injuries and fatalities: FRA’s Office of Railroad Safety tracks the

following DOT-level performance measures to demonstrate program results:

* FY 2011 actuals are based on one month of preliminary data and are provided for transparency of reporting to date; but might differ significantly from the full-year data due to reporting submission requirements. Official data will be published in FRA’s annual rail safety statistics report. NA: Not available at this time.

DOT Goal/Outcome: Safety - Reduction in injuries and fatalities

Reduce rail-related accidents and incidents per million train miles 2007 2008 2009 2010 2011 2012

Target 16.70 18.45 17.00 16.40 16.40 16.30

Actual 17.37 16.93 16.82 16.13 15.20 * NA


Reduce highway-rail grade crossing incidents per million train-miles 2007 2008 2009 2010 2011 2012

Target 3.75 3.75 3.65 3.65 3.50 3.30

Actual 3.54 3.25 2.99 2.86 3.15 * NA


Reduce human-factors-caused train accidents per million train-miles 2007 2008 2009 2010 2011 2012

Target 1.66 1.66 1.35 1.35 1.25 1.20

Actual 1.30 1.23 1.04 0.90 0.81 * NA


Reduce track-caused train accidents per million train-miles 2007 2008 2009 2010 2011 2012

Target 1.15 1.15 1.15 1.15 1.12 1.08

Actual 1.26 1.10 1.03 0.95 0.89 * NA

34

Exhibit III-2 (cont’d)



* FY 2011 actuals are based on one month of preliminary data and are provided for transparency of reporting to date; but might differ significantly from the full-year data due to reporting submission requirements. Official data will be published in FRA’s annual rail safety statistics report. NA: Not available at this time.


Reduce equipment-caused train

accidents per million train-miles 2007 2008 2009 2010 2011 2012

Target 0.521 0.521 0.450 0.450 0.450 0.430

Actual 0.419 0.436 0.369 0.362 0.291 * NA


Reduce other (signal and misc.) train

accidents per million train-miles 2007 2008 2009 2010 2011 2012

Target 0.647 0.647 0.647 0.593 0.590 0.560

Actual 0.509 0.499 0.484 0.486 0.372 * NA


Reduce non-accident hazmat releases

per million train-miles 2007 2008 2009 2010 2011 2012

Target 0.915 0.900 0.800 0.800 0.780 0.760

Actual 0.878 0.895 0.927 0.966 0.856 * NA

35




Organizational Excellence – Best Work Place: FRA’s Office of Financial Management and

Administration tracks the following DOT-level performance measures to demonstrate program

results:

DOT Goal/Outcome: Organizational Excellence – Best Work Place

DOT Goal/Outcome: Organizational Excellence – Best Work Place

** OPM surveys Federal employees every two years. NA: Not available at this time. TBD: DOT has not determined its 2012 targets.

The Office of Personnel Management (OPM) surveys Federal employees every two years

regarding their satisfaction with their work, agency, supervisor, performance culture, and

leadership. For 2010, DOT’s targets were to improve its average score in the Leadership and

Performance Culture areas by 7 percent over the 2008 scores in order to bring these scores to

52.5 percent and a 44.2 percent, respectively.

FRA’s actual results far exceeded the DOT target scores, averaging 73.1 percent positive

responses for Leadership and 63.2 percent positive responses for Performance Culture. FRA

also exceeded many government-wide averages in the survey. In fact, FRA exceeded the

government-wide scores in 75 questions of 78 questions, and exceeded the DOT scores in 77

questions of 78 questions. Of the 38 government agencies whose scores were posted on OPM’s

Web site, FRA scored the highest score government-wide in 12 questions, second highest in 16

questions, third highest in 17 questions, and fourth highest in 8 questions.

Improve Employee Satisfaction: For 2010, exceed 2008 DOT Leadership average score (49.1) by 7 percent 2007 2008 2009 2010 2011 2012

Target ** NA ** 52.5 ** TBD

Actual ** 71.8 ** 73.1 ** NA

Improve Employee Satisfaction: For 2010, exceed 2008 DOT Performance average score (41.3) by 7 percent 2007 2008 2009 2010 2011 2012

Target ** NA ** 44.2 ** TBD

Actual ** 61.2 ** 63.2 ** NA

36




The above Financial Performance outcomes are designed to establish a baseline for FRA to begin

assessing itself in matters related to the effective financial management of FRA’s expanding

portfolio of competitive, discretionary grant programs. As a result of these post-award financial

monitoring activities, FRA will catalog lessons learned and best practices from across the

country. These items will be leveraged and used in developing the course work materials for a

grantee-focused training and technical assistance program.

DOT Goal/Outcome: Organizational Excellence - Financial Performance

Improve the administration, oversight, transparency, and management of DOT's traditional grants and expanding portfolio of discretionary grants.

Number of risk based financial monitoring visits completed. 2007 2008 2009 2010 2011 2012

Target -- -- -- -- 10 20

Actual -- -- -- -- NA NA

Number of financial desk reviews conducted. 2007 2008 2009 2010 2011 2012

Target -- -- -- -- 20 40


Number of formal financial technical assistance engagements conducted. 2007 2008 2009 2010 2011 2012

Target -- -- -- -- 3 6


-- Goal/outcome not set for this fiscal year. NA: Not available at this time.

37

Detailed Justification for Safety and Operations

WHAT IS THE REQUEST AND WHAT WILL WE GET FOR THE FUNDS?

FY 2012 – Safety and Operations – Budget Request ($000)

WHAT IS THE PROGRAM?

Safety and Operations funds three program activities.

Salaries and expenses: Provides resources for the Federal Railroad Administration’s (FRA)

staff and operations (e.g., payroll, rent, telecommunications, information technology, and

contract support), as well as programs that improve railroad safety (e.g., monitoring compliance

of Federal safety regulations throughout the Nation’s railroad industry). These funds ensure that

FRA has the management and administrative structure to accomplish Administration priorities

and ensure sound stewardship of FRA’s approximately $8.23 billion rail safety and development

programs. The Salaries and Expenses program also includes a railroad safety user fee to aid in

offsetting FRA railroad safety inspector and related activity costs.

FY 2010

ACTUAL

FY 2012

REQUEST

CHANGE

FY 2010-2012

Salaries and Expenses $170,734 141,445 (29,289)



Subtotal 172,270 143,034 (29,236)

Off-setting collections (Rail Safety User Fees) 1/- 80,000 80,000

TOTAL 172,270 223,034 50,764

Positions

Direct Funded 917 684 (233)

Reimbursable, Allocated, Other 0 399 399

Total Positions 917 1,083 166

FTE

Direct Funded 894.5 630.5 (264.0)

Reimbursable, Allocated, Other - 369.5 369.5

Total FTE 894.5 1,000.0 105.5

Notes:

FY 2012 - Safety and Operations - Budget Request

($000)

1/ FRA proposes a provision allow ing user fee collections of $80 million to be credited to the Safety and

Operations appropriation as offsetting collections, thereby reducing the amount appropriated and the budget

authority.

38

Contract support: Provides support for policy-oriented economic, industry, and systems

analyses.

Alaska Railroad Liabilities: Provides reimbursement to the Department of Labor (DOL) for

compensation payments to former Federal employees of the Alaska Railroad who were in a pay

status during the period of Federal ownership and support for clean-up activities at hazardous

waste sites located at properties previously owned by FRA. The FY 2012 request is for the

reimbursement of DOL for workers’ compensation payments.

Anticipated FY 2011 Accomplishments:

Reduce the rate of rail-related accidents and incidents per million train-miles to 16.40 by:

o Reducing the grade crossing incident rate to 3.50;

o Reducing the human factors-caused train accident rate to 1.25;

o Reducing the track-caused train accident rate to 1.12;

o Reducing the equipment-caused train accident rate to 0.450;

o Reducing the other (signal & miscellaneous) train accident rate to 0.590; and

o Reducing the non-accident hazmat releases rate to 0.780.

WHY IS THIS PARTICULAR PROGRAM NECESSARY?

FRA operates across three major functional areas: (1) Railroad Safety, (2) Railroad Policy and

Development, and (3) Executive Leadership and Support.

Railroad Safety: The Office of Railroad Safety (RRS) supports the Department’s strategic goal

of reducing transportation-related fatalities and injuries on the Nation’s railroads. It promotes

and regulates safety throughout the Nation’s railroad industry by employing approximately 400

Federal safety inspectors at eight regional offices across the country. FRA inspectors specialize

in five safety disciplines:

(1) Track and Structures,

(2) Signal and Train Control,

(3) Motive Power and Equipment,

(4) Operating Practices, and

(5) Hazardous Materials.

In addition to the five disciplines, numerous rail

safety and prevention activities are essential to the FRA’s safety program. The Knowledge and

Management Program manages the collection and conversion of all data on rail safety into

meaningful statistical charts, tables, and reports, which is central to the success of the rail safety

effort. The Safety Improvement and Development Team determines technical needs for the field

and ensures each safety inspector and specialist is provided at least one week of technical

training per year. The Highway-Rail Grade Crossing Safety and Trespass Prevention Program

helps ensure safety and prevent trespassing along our Nation’s grade crossings. The Industrial

Hygiene Program helps maintain safety at FRA headquarters and in the field. The Passenger

39

Rail Division maintains and coordinates FRA’s safety policies, regulations, guidance, and

coordination for all matters related to high-speed rail, intercity rail, commuter rail, and shared-

use rail operations. The State Rail Safety Participation Program consists of 30 States employing

170 safety inspectors in the five rail safety inspection disciplines. Before participation may

begin, each State agency must enter into a multi-year agreement with FRA for the exercise of

specified authority. This agreement may delegate investigative and surveillance authority

regarding all or any part of Federal railroad safety laws. The Office trains and certifies State

safety inspectors to enforce Federal rail safety regulations. The Planning and Evaluation

Division plans and evaluates rail-related safety projects, programs, and initiatives; helps ensure

cost-effective solutions to railroad safety problems; and identifies critical rulemaking

information for FRA decision makers and staff.

Railroad Policy and Development: Office of Railroad Policy and Development (RPD)

provides Federal financial assistance to State governments and the rail industry, including the

National Railroad Passenger Corporation (Amtrak), and develops and implements high-speed

and intercity passenger rail service policy. The Office sponsors research and development

activities to improve the technology for railroad safety and work, and provides investment

opportunities for small freight railroad projects, primarily through the Railroad Rehabilitation

and Improvement Financing (RRIF) program.

RPD is the lead for implementation of the Administration’s vision to renew and expand intercity

passenger rail infrastructure and services across the Nation. RPD’s leadership is the driving

force behind the success of the High-Speed Intercity Passenger Rail Program, initially funded in

ARRA, and continues to build and support the Administration’s vision of a national system of

regional passenger rail networks.

Executive Leadership and Support: This function is composed of several offices within FRA;

each with a specific function supporting FRA mission essential programs and activities.

• Office of the Administrator: Includes staff and programs in the immediate Office of the

Administrator, the Office of Civil Rights, the Office of Public Affairs, and the Office of

Public Engagement. The Office of the Administrator provides executive leadership and

direction to FRA and is responsible for the overall planning and direction of FRA

activities. The Office of Civil Rights (OCR) provides leadership, policy guidance,

support, and coordination to FRA’s various offices and external customers to ensure

effective and consistent diversity and civil rights programs. The OCR program

responsibilities also include processing internal and external complaints, employing

minority interns, holding special observances, and other operational functions. The

Office of Public Affairs (OPA) plans, organizes, coordinates, and implements wide-

ranging activities to promote and enhance public understanding, support, and awareness

of FRA’s policies, programs, and accomplishments. OPA also conducts research and

drafts, edits, proofreads, clears and disseminates official executive statements, speeches,

talking points, remarks, briefing papers, testimonies, as well as media advisories, press

releases, fact sheets, and other materials for distribution. The Office of Public

Engagement (OPE) plans, organizes, coordinates, and administers activities related to

40

marketing and outreach assistance to external stakeholders, customers, and partners at the

national, regional, and State levels in the railroad community and the public.

• Office of the Chief Counsel: There are two major divisions within the FRA Chief

Counsel: (1) Safety Law and (2) General Law. The Safety Law Division develops and

drafts the agency’s safety regulations, assesses civil penalties for violations of the rail

safety statutes and FRA safety regulations, and provides other legal support for FRA’s

safety program. The General Law Division provides legal services to FRA’s offices on

all legal issues other than safety law, including appropriations, contract and grant

management, Freedom of Information Act, Federal Tort Claims Act, and Surface

Transportation Board matters.

• Office of Financial Management and Administration: Directs and coordinates

administrative programs and support services of FRA in headquarters and the eight

regional offices. It includes the offices of Budget, Financial Services, Human Resources,

Information Technology, and Acquisition and Grants Services. It also coordinates the

implementation of government-wide and Departmental management initiatives and

reforms.

HOW DO YOU KNOW THE PROGRAM WORKS?

The Government Performance and Results Act (GPRA) requires FRA to develop strategic plans

with long-term, outcome-oriented goals and objectives, to link annual goals to achieving long-

term goals, and to report on results annually. FRA uses this process to document and evaluate all

aspects of its programs.

Safety Strategic Objective: The Office of Railroad Safety (RRS) utilizes the GPRA process in

support of two DOT safety strategic objectives: (1) to reduce transportation-related accidents and

incidents, and (2) to reduce all transportation-related hazardous materials incidents. RRS also

focuses on its current strategic objective to reduce deaths and injuries.

Steady Reductions in Rail-related Accidents: The railroad industry has experienced

safety improvements over the past two years. Although the FY 2010 data are

preliminary, the total number of rail-related accidents and incidents declined 3.4 percent

over the prior year, with train accidents, casualties, and grade-crossing incidents dropping

(see table below). This downward trend is continuing. In the FY 2009 ―Top

Management Challenges,‖ DOT’s Inspector General noted that grade crossing collisions

and deaths had declined, that FRA had strengthened its crossing program, and that FRA

can do more by ―effectively implementing the safety mandates in the RSIA.‖ An

independent study conducted as part of the FY 2009 Annual Enforcement Report states

that ―the data show that the safety program as a whole, including the effects of civil

penalties, is highly effective.‖

41

Safety Measure

Percentage Reduction from Prior Year

FY 2009 FY 2010

(preliminary

All rail-related accidents and incidents 13.1 3.4

Train accidents 21.6 7.1

Casualties 13.0 2.2

Grade-crossing incidents 19.6 3.7

Data-Driven Inspections: RRS plans its safety-related activities based upon statutory

requirements, congressional directives, reviews of relevant safety statistics, findings in

prior safety inspections and investigations, safety research and development, and

recommendations by the National Transportation Safety Board (NTSB) and other

oversight bodies, including the DOT Office of the Inspector General. Central to the

success of the rail safety effort is the ability to understand the nature of rail-related

accidents and to analyze trends in railroad safety.

Organizational Excellence Strategic Objective: FRA has two goals that support DOT’s

Organizational Excellence strategic goal.

Best Work Place: The Office of Personnel Management (OPM) surveys Federal

employees every two years regarding their satisfaction with their work, agency,

supervisor, performance culture, and leadership. For 2010, DOT’s targets were to

improve its average score in the Leadership and Performance Culture areas by 7 percent

over the 2008 scores, that is, a target average score of 52.5 percent favorable responses

for Leadership and a 44.2 percent target average score for Performance Culture. FRA

actuals far exceeded the DOT target scores, averaging 73.1 percent positive responses for

Leadership and 63.2 percent positive responses for Performance Culture. FRA also

exceeded many government-wide averages in the survey. In fact, FRA exceeded the

government-wide scores in 75 questions of 78 questions, and exceeded the DOT scores in

77 questions of 78 questions. Of the 38 government agencies whose scores were posted

on OPM’s Web site, FRA scored the highest score government-wide in 12 questions,

second highest in 16 questions, third highest in 17 questions, and fourth highest in 8

questions.

Financial Performance: FRA’s portfolio of discretionary grants is expanding

significantly with ARRA, positive train control (PTC) requirements, and the

Administration’s high-speed rail initiative. As a result, FRA has developed performance

goals, starting in FY 2011, to establish a baseline and begin self-assessment of FRA’s

management of its competitive, discretionary grant programs. Such post-award financial

monitoring activities will allow FRA to catalog lessons learned and best practices from

across the country, which FRA will then use to develop grantee-focused training and

technical assistance.

42

WHY DO WE WANT/NEED TO FUND THE PROGRAM AT THE REQUESTED LEVEL?

The FY 2012 request funds costs for (1) baseline changes totaling $4.863 million, and

(2) program increases totaling $45.901 million and 166 positions (83.0 FTE). This request also

redirects $4.271 million to cover obligatory payments as a result of the FY 2011 continuing

resolution. Explanations of these changes follow:

Redirected funds of $4.271 million are necessary to annualize salary and benefits totaling

$3.499 million for 45 new positions (22.5 FTE) that FRA received in FY 2010 and to pay

increases of $88 thousand for the GSA Rent and $684 thousand for the Working Capital Fund

bills. FRA has redirected $1.749 million from travel and $2.522 million from contract

requirements in order to absorb these costs.

Baseline changes of $4.863 million are necessary to sustain FRA’s workforce and current

operations. These adjustments include:

One-Less Compensable Day ............................................................................................. -$0.448M

Represents a reduction in personnel compensation and benefits as a result of one less

compensable day in FY 2012.

Working Capital Fund ....................................................................................................... $4.711M

The Working Capital Fund (WCF) is a fully reimbursable fund that finances a range of

administrative support services to DOT. This centrally managed account provides Department-

wide functions such as information technology, facilities, operational support, and personnel

administration. Centralizing administrative support functions has enabled DOT to achieve

economies of scale, reducing costs and increasing operational efficiencies, and has allowed DOT

operating administrations to focus on and accomplish their goals. WCF allocates costs based on

the service provided. This request is associated with operating costs in these WCF activities.

Request levels are based on estimates provided by the WCF, and determined by actual usage

costs (including inflation).

GSA Rent ........................................................................................................................... $0.242M

Represents the proposed increase in costs for FRA rent. This request funds GSA lease space

requirements and offsets costs exceeding non-pay inflation. The GSA Rent account is a demand

account that reflects costs resulting from occupancy agreements established with GSA to meet

specific facility requirements. The GSA Rent account is a ―bill‖ that must be paid.

Non-pay Inflation ............................................................................................................... $0.358M

FRA relies upon contract support for certain goods and services. Price escalation for goods and

services during FY 2011 must be accommodated. Funding is requested at the non-pay inflation

rate of 0.5 percent to ensure that contracts are adequately funded to maintain essential services

and enable FRA activities to execute their responsibilities in FY 2012.

43

The FY 2012 budget request reflects programmatic increases of $45.901 million and 166 new

positions (83.0 FTE). Explanations of these program changes are listed below.

Personnel increases ....................................................... $16.791 M and 166 positions (83.0 FTE)

These increases are necessary to assist in the implementation of RSIA, PRIIA, and ARRA

requirements and the Administration’s proposed National High Performance Rail System

program. $11.927 million reflects the cost for these new positions (personnel compensation and

benefits funded for two quarters); $601 thousand for increased rent for additional space;

$3.079 million for travel; and $1.184 million for necessary training and IT equipment, as well as

required safety equipment for safety inspectors. Positions will be distributed among program

and support offices in the following manner:

Office of Railroad Safety – 59 Regional Safety Inspectors (29.5 FTE) and 35

Headquarters and Regional staff (17.5 FTE);

Office of Railroad Policy and Development – 42 positions (21.0 FTE) for the purposes of

building the needed capacity to manage High-Speed and Intercity Passenger Rail

Corridors grant programs, 6 positions (3.0 FTE) to staff FRA’s rail-related research and

development activities, and 10 positions (5.0 FTE) for rail policy activities; and,

Executive Leadership and Support – 14 positions (7.0 FTE) to build the infrastructure

required to support the growth in program areas.

o Office of the Administrator: 4 positions (2.0 FTE) (1 position/0.5 FTE for the

Immediate Office of the Administrator; 2 positions/1.0 FTE for the Office of Civil Rights 1

position/0.5 FTE for Office of Public Engagement);

o Office of Chief Counsel: 5 positions (2.5 FTE); and,

o Office of Financial Management and Administration: 5 positions (2.5 FTE).

Automated Track Inspection Program (ATIP) ................................................................. $5.840M

FRA requests a total of $14.3 million for ATIP, which is $5.840 million above the program’s

current operating budget based on the FY 2010 enacted level. ATIP operations require an

increase in funding to maintain effectively the geometry cars at maximum efficiency and to meet

program and mission goals. This requested level includes costs associated with maintaining and

coordinating FRA safety policies, regulations, guidance, and coordination of all matters related

to automated track inspections. Since the start of the operation of ATIP cars in 1974, they have

served an important role in FRA’s overall compliance programs. ATIP is a Government-

sponsored track inspection program to reduce the accident rate on high-exposure priority

(passenger and toxic-inhalation-hazard release) train routes. The primary safety-related use of

ATIP is the supplemental assistance provided to all inspectors in identifying the most important

noncompliant track geometry locations and conditions for evaluations and remediation. ATIP’s

purpose is to provide accurate, comprehensive, and objective automated inspections. ATIP

surveys (inspections) measure track geometry (gage, alignment, and track surface), assuring

compliance with the Federal safety standards, and providing a vital and dynamic (under load)

source of true overall track conditions. Since 2005, ATIP has helped reduce mainline

derailments caused by track geometry by almost 45 percent and the overall train accident rate by

over 32 percent.

44

Risk Reduction Program (RRP) ........................................................................................ $3.325M

FRA requests a total of $7.8 million for risk reduction program activities. In response to Section

103 of RSIA, FRA is promulgating a regulation requiring specific railroads to develop risk

reduction program plans and, pending FRA approval of those plans, to carry out the risk

mitigation programs outlined therein. RRP will reduce the number, frequency, and severity of

accidents and crashes, fatalities, and injuries by developing innovative methods, processes, and

technologies to identify and correct individual and systemic contributing factors using

―upstream‖ predictive data. Further, the risk reduction program plans include pilot

implementations that are carefully evaluated to determine their effectiveness and also include

educational and outreach efforts. Existing rail safety data and certain types of data provided as a

result of pilot activities will be used to develop mathematical models and analytical methods to

identify rail safety trends. FRA will also conduct outreach and training activities to share

knowledge throughout the industry about successful risk reduction programs and about effective

methods of reducing the likelihood that railroad employees in safety-critical positions suffer

from fatigue on the job. Particularly successful pilot programs may also be developed into

nationwide non-regulatory safety improvement programs. RRP will also secure sensitive

information, preventing inappropriate disclosure. RRP includes developing fatigue management

strategies and conducting training and outreach within the FRA and throughout the industry.

With RRP, FRA expects that there will be monetary savings due to eventual reductions in the

number of accidents and incidents and lost productivity, and lives will be saved. The enhanced

cooperation between FRA, the railroad industry, railroad labor groups, and other stakeholders

will ensure the development of a culture where risk is identified and managed before accidents

occur.

According to RSIA, the required effective date of the regulation is October 16, 2012, and FRA

will develop analytical tools to identify all railroads required to submit RRP plans. FRA will

also evaluate and approve plans submitted as a result of the regulation and will audit the

railroads’ compliance with their own plans.

1. Pilot program development and implementation includes: (1) establishing programs

intended to identify new technologies, procedures, or data analyses that reduce risk;

(2) developing processes and procedures to facilitate collaboration between FRA, labor,

and railroad management; and (3) developing processes and procedures that enhance

cooperation within FRA.

2. Pilot program evaluation includes: (1) determining correlation between accident

precursor incidents and accident occurrences; (2) determining effectiveness of risk

countermeasures; and (3) developing best practices for industry-wide risk reduction.

3. Fatigue management development and outreach includes: (1) minimizing the

prevalence of fatigue as a factor in railroad accidents and injuries by refining FRA’s

existing fatigue model; (2) minimizing the prevalence of fatigue as a factor in railroad

accidents and injuries by providing guidance to railroads developing fatigue management

programs as required by Section 103 of RSIA; and (3) reviewing industry fatigue-related

proposals.

45

4. Mathematical modeling and analysis includes: (1) developing and using analytical

tools and methods supporting evaluation of RRP pilot implementations; (2) developing

and using analytical tools and methods to identify those railroads that must comply with

the RRP regulation; (3) assisting railroads in developing analytical tools and data analysis

methods that they can use to reduce risks in accordance with their own risk reduction

program plans; and (4) providing analytical support as needed to other safety initiatives

within FRA.

5. Securing data includes: (1) providing staff and infrastructure that ensure that

confidential data provided to FRA as part of an RRP implementation will remain

confidential and secure; (2) preventing disclosure of confidential data provided as a part

of an RRP implementation due to Freedom of Information Act requests, as dictated by

Section 109 of RSIA; and (3) providing protection from legal discovery to the extent

allowed after completion of the study mandated in Section 109 of RSIA.

6. Development and implementation of nationwide voluntary programs includes:

(1) improving railroad safety beyond the levels currently attainable through traditional

enforcement efforts and (2) encouraging system-wide development of strong,

collaborative rail safety cultures.

7. Regulatory development and compliance includes: (1) developing a regulated RRP for

affected railroads that meets the requirements of the RRP outlined in RSIA; (2) providing

expert staff and contractor support for risk reduction analysis for railroads required to

provide a risk reduction program plan; (3) providing programs and guidance for FRA to

meet the requirements in RSIA for risk reduction program plans; and (4) creating and

executing an auditing program to ensure compliance with the risk reduction program.

8. Waivers include: (1) ensuring consistent and efficient processing of waivers associated

with risk reduction and (2) ensuring consistent and efficient processing of waivers related

to hours of service regulations.

9. Training and oversight includes: (1) providing training and guidance to FRA and

industry stakeholders to ensure consistent application and interpretation of FRA RRP

requirements; (2) coordinating RRP activities with all elements of FRA to ensure timely

and consistent exchange of risk reduction information; (3) providing timely updates and

guidance on new FRA safety initiatives; (4) coordinating between FRA and other

stakeholders; and (5) sharing risk reduction best practices with FRA and other

stakeholders.

Railroad Safety Information System (RSIS) ..................................................................... $2.151M

FRA requests funding for the RSIS and other related data management initiatives. The total

requested amount is $4.742 million, which is a $2.151 million increase over the FY 2010 base.

This increase will allow FRA to acquire needed contractual services and hardware/software to

address the new and expanded data requirements under RSIA, which imposes very tight timelines

on FRA to develop the necessary regulatory changes to achieve compliance with its provisions.

46

These new regulations require FRA to collect and compile information on railroad employee

hours of service, conductor certifications, PTC, bridge safety, and other safety-sensitive data for

the risk reduction program. The volume of rulemaking activity will require extensive data

management support to accomplish the required regulatory analysis, implementation, and support.

The inability to obtain the requisite data management support will adversely impact the agency’s

ability to affect rulemaking and will require technical work-arounds to produce the required

supporting data.

RSIS is FRA’s principal repository for data relating to railroad accidents and incidents,

inspections, highway-rail grade crossings, and other rail safety-related information. RSIS is used

extensively by FRA to monitor and report on the current state of safety in the railroad industry.

The information in RSIS is made available to a variety of stakeholders including railroads; rail

labor; other Federal, State, and local agencies; non-governmental organizations; academia; and

the general public, primarily through FRA’s Safety data Web site.

RSIS is used extensively by FRA for a variety of purposes including:

Providing a central and authoritative source for rail safety information.

Safety trends and risk analyses.

Part 225 of Title 49 of the Code of Federal Regulations –accident/incident reporting

compliance.

Data/statistical/economic analysis for rulemaking support and regulatory evaluation.

Supporting compliance monitoring and enforcement efforts.

Performance/budget reporting under GPRA.

Resource allocation through FRA’s national inspection plan.

Promoting highway-rail grade crossing safety and trespass prevention education,

outreach, and communication efforts.

Situational awareness/incident reporting of rail incidents and employee fatalities.

E-gov and data interchange services for the rail industry and other Federal agencies.

Inspector performance management through the inspection dashboard.

Without the RSIS contractor data management support, accident/incident, railroad inspection,

and highway-rail crossing data would not be collected, validated, compiled, and made available

for the agency’s use. FRA managers and field inspectors would lose their access to data and

analytical tools that are available on public and secure Web sites. FRA leadership’s decision

making capabilities would be adversely impacted by the lack of access to accurate, timely, and

coherent safety and compliance information. FRA’s enforcement efforts (focused inspections,

audits, violations) would be missing the essential business intelligence and analytics that

typically drive these activities. Rulemaking and regulatory activities would be severely

hampered by the lack of access to essential railroad safety statistical data. External stakeholders,

including the railroads, rail labor, and the general public, would be deprived of their access to

current and reliable railroad safety information made available through FRA’s electronic outlets.

47

RSIS is comprised of three principal systems:

The Railroad Accident Incident Reporting System compiles accident/incident data that

railroads submit as required by Part 225. About 35 years of data on railroad injuries and

illnesses, train accidents, highway-rail grade crossing collisions, and operational statistics

is contained in this system.

The Railroad Inspection Reporting System is the record repository of all FRA and

State railroad inspections, defects, and violations.

The Highway-Rail Grade Crossing Inventory System is the principal database that

contains the attributes of the Nation’s highway-rail grade crossing intersections.

Crossing Safety and Trespasser Prevention ...................................................................... $3.315M

FRA requests an increase of $3.31 million for programs addressing grade crossing collisions and

trespasser incidents, which typically account for over 95 percent of the railroad-related fatalities.

In FY 2008, approximately 456 people lost their lives while trespassing on railroad property and

another 289 lost their lives in highway-rail grade crossing collisions. This accounts for

56 percent and 36 percent respectively, of all rail-related fatalities that were reported to FRA.

RSIA includes new mandatory reporting and updating of grade crossing information in the

National Inventory and development of safety guidance for railroads on safety strategies and

methods to prevent pedestrian incidents and fatalities at or near passenger stations. This funding

is also for Operation Lifesaver, as well as other initiatives to prevent future loss of lives.

RSIA and Other Contract Increases ................................................................................. $5.246M

RSIA requires that the Office of Railroad Safety perform numerous studies, reports, and

rulemakings with very short deadlines in order to achieve maximum improvements in railroad

safety. To ensure that RSIA mandates are met, the Office of Railroad Safety will need

contractual support to help in all areas so that the required studies, reports, and rulemakings can

be accomplished in the timeframe provided. A reduction in contract funding would result in a

critical shortfall in FRA’s ability to implement many new safety initiatives found in RSIA, which

could contribute to a material delay in implementation of RSIA.

In addition, the Office of Railroad Safety requires funds for contract support of activities, such

as: High-speed Rail Safety Standards, fatigue prevention and management, county-based rural

response surveys, Rail Safety Advisory Committee Web site maintenance, etc.

Financial Management Business Transformation (FMBT)

FRA is partnering with the Department to implement a standard, unified financial system across

DOT. FMBT is also consolidating the Department’s procurement systems into a standard system

that will integrate with DOT’s financial system. Consolidating and standardizing both these

systems will significantly enhance Department-wide spending analysis; standardize reporting

capabilities while reducing the cost of software maintenance, application support, and system

hosting. Integrating the procurement system with the financial system will also enhance

financial reports provided to DOT and operational program managers; streamline business

48

processes; eliminate the risk of human error that occurs because of duplicate manual data entries;

and support commitment accounting.

o Data Migration Preparation .................................................................................... $3.00M

Delphi is the computerized financial system for FRA. DOT plans to replace this system

with the new version in FY 2014. Before FRA transfers ten years of data from the

current version of Delphi to the new version, the data needs to be thoroughly reviewed

for anomalies and exceptions; cleansed of unnecessary entries; and reconciled to

subsidiary systems to ensure that the quality of data transferred into the new Delphi

system supports FRA’s mission and meets FRA’s forward-going needs. This effort will

require support from contract staff with specialized software and skills in data cleansing.

o One-DOT Procurement Platform ............................................................................ $3.50M

FRA is currently working with the Department to define the requirements for a new or

enhanced procurement writing system. Program implementation varies from integrating

an entirely new contract writing system to significantly enhancing the current system.

Implementing any of the approaches being considered will require implementing system

migration requirements at operational levels within the Department. Minimally, it will

require matching and migrating years of existing contract data with the existing Delphi

system entries, increased contract close-out activities, manual reconciliation of unique

contract entries, cleansing unnecessary entries, manual payment validation, and

reconciliation to subsidiary systems (i.e. invoicing). This non-recurring effort and

associated costs are required to ensure that the quality of financial data is migrated

seamlessly to support and maintain FRA’s historical and forward financial mission

integrity. Accomplishing this effort will require temporary support from contractor staff

with specialized software expertise in data cleansing, contract close-out, and revised

process training.

Acquisition/Build-out of FRA HQ space ............................................................................ $2.50M

For nearly two years, FRA has been working with the DOT Office of the Secretary to identify

and develop a solution to accommodate FRA’s expanding workforce located at the 1200 New

Jersey Avenue headquarters building. In FY 2010, FRA headquarters space requirements

increased by 54 people, resulting in a shortfall of 55 office spaces. For FY 2012, FRA

anticipates needing space for an additional 96 people, leading to FRA’s projected cumulative

deficit of 151 office spaces. While OST and FRA are working collaboratively to find a solution,

FRA is including an additional $2.5 million in its FY 2012 budget to cover the added GSA rent

and office build-outs it expects to pay once additional office space is provided.

FRA Washington, DC, Staff and Space Requirements*

Employees DC Office

Spaces (est.)

FY 2010 Actual FY 2012

DC FTE Unmet

Requirements DC FTE Unmet

Requirements

Federal Staff 352 366 14 462 110

Support Staff 44 85 41 85 41

Total 396 451 55 547 151

* FY 2010 Federal staff total reflects all new DC positions received and requested.

49

Mobile-DOT (mDOT) Secure Remote Access ................................................................... $0.179M

This mDOT project will provide an improved method of FRA field inspectors and travelers to

remotely and securely connect to FRA and DOT IT networks and systems. The mDOT

infrastructure will allow users to seamlessly access resources, file servers, applications, etc. using

their normal user name and password authentication process.

Alaska Railroad Liabilities ................................................................................................ $0.021M

The FRA requests $21 thousand to reimburse the Department of Labor for workers’

compensation payments to former Federal employees of the Alaska Railroad who were on the

rolls during the period of Federal ownership.

Contract Support .................................................................................................................. 0.033M

The Contract Support program provides support for policy-oriented economic, industry, and

systems analysis. This program includes recurring contracts for access to proprietary forecast

databases which contain forecasts for rail equipment acquisitions, rail-carried commodity

volumes, modal tons, ton-miles, and intermodal shipments; Association of American Railroads

databases and publications pertaining to railroad traffic and operations; interagency agreement to

DOT’s Center for Climate Change, and dues to the European railroad association for

publications, dues, and conferences.

Databases include:

Carload Waybill Sample: This database is the most comprehensive database, providing

approximately 700,000 records out of a universe of over 20 million shipments, for the

geographic and commodity levels for the major freight railroads. Analyses include the

impacts of natural disasters on railroads and shippers, and the movement of hazardous

materials shipments. Without this FRA investment, information on rail commodity flows

by origin and destination would not be available to perform these analyses and others that

support the FRA mission of promoting safe and efficient rail transportation.

Railroad Network System which supports the maintenance and ongoing development of

Geographical Information System (GIS) data and applications to analyze rail economics,

rail defense issues, rail safety, and rail environmental considerations in ways previously

not possible (e.g., hazardous material routing and creation of the Strategic Rail Corridor

Network). FRA’s investment in the Rail Network System provides the 1:100k scale

computerized network that accurately represents the route structure of the North

American railroad system. The spatial data provided by FRA’s Rail Network System is

recognized by multidisciplinary groups to be the most comprehensive and up-to-date rail

network data that serves as the government’s primary rail layer. This dataset is used for

several Safety regulations, currently to support the rail industry to provide alternative

hazmat risk assessments.

50


Program and Financing Schedule

Identification code 69-0700-0-1-401 FY 2010 FY 2011 CR FY 2012

Actual Annualized Request

Obligations by program activity:

00.01 Salaries and expenses 173,875 173,719 141,445

00.02 Contract Support 1,103 1,291 608

00.03 Alaska Railroad Liabilities 769 1,432 981

01.00 Total direct program 175,747 176,442 143,034

09.01 Reimbursable program 864 0 80,000

09.00 Total obligations 176,611 176,442 223,034

Budgetary resources available for obligation

10.00 Unobligated balance available, start of year 7,451 4,172 0

10.21 Recover of prior year unpaid obligations 527 0 0

10.50 Total budgetary resources available for obligation 7,978 4,172 0

11.00 Appropriation 172,270 172,270 143,034

Appropriation (total) 172,270 172,270 143,034

Discretionary spending authority from offsetting collections:

17.00 Offsetting collections (cash) (unexpired only) 1,045 0 80,000

17.01 Change in uncollected cust paymts fm Fed sources (unexp) 63 0 0

17.50 Spending authority fm offsetting collections (total 1,108 0 80,000

19.00 Budget authority total 173,378 172,270 223,034

19.30 Total budgetary resources available 181,356 176,442 223,034

19.40 Unobligated balance expiring or withdrawn -573 0 0

New obligations -176,611 -176,442 -223,034

19.41 Unobligated balance available, end of year 4,172 0 0

Change in Obligated Balace:

30.00 Obligated balance , start of year 203,367 210,219 152,031

30.10 Uncollected customer payments from Federal sources, brought for, Oct 1 -1,032 0 0


30.30 Obligations incurred: Unexpired accounts 176,611 176,442 223,034

30.31 Obligations incurred: Expired accounts 6,995 0 0

30.40 Total outlays (gross) -186,375 -234,630 -255,114

30.50 Chg in Uncollected cust orders fm Fed Sources (unexpired) -63 0 0

30.51 Chg in Uncollected cust orders fm Fed Sources (expired) 775 0 0

30.61 Obligated balance transferred from other accounts 20,000 0 0

30.80 Recoveries of prior year obligations -527 0 0

30.81 Recoveries, prior year unpaid obs, exp accts -9,532 0 0

30.90 Unpaid Obligations (gross) 210,539 152,031 119,951

30.91 Uncoll customer payments from Federal sources, EOY -320 0 0

31.00 Obligated balance, end of year 210,219 152,031 119,951

Budget Authority and Outlay, Net

40.00 Budget Authority, gross 173,378 172,270 223,034

40.10 Outlays from new discretionary authority 149,567 137,816 186,427

40.11 Outlays from discretionary balances 36,808 96,814 68,687

40.20 Total outlays (gross) 186,375 234,630 255,114

Offsets:

Against gross budget authority and outlays

Offsetting collections (cash) from:

40.30 Collections, from Fed sources -974 0 0

40.33 Collections, non-Fed sources (user fees) -244 0 -80,000

40.40 Offsets against gross BA and outlays (total) -1,218 0 -80,000

40.50 Portion of offsetting collection credited to unexpired accounts 63 0 0

40.52 Portion of offsetting collection credited to expired accounts -173 0 0

40.60 Additional offsets against BA only (total) -110

Net budget authority and outlays:

40.70 Budget authority (net) 172,270 172,270 143,034

40.80 Outlays (net) 185,157 234,630 175,114

Unpaid Obligations, EOY 210,219

(In thousands of dollars)

51


Object Classification Schedule (in thousands of dollars)

2010 2011 CR 2012

Identification Code 69-0700-0-1-401 Actual Annualized Request

Direct Obligations:

Personnel compensation:

11.1 Full-time permanent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80,620 88,396 62,009

11.3 Other than full-time permanent . . . . . . . . . . . . . . . . . . . . . . . . . . . . 847 939 659

11.5 Other personnel compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2,988 3,313 2,324

11.9 Total personnel compensation . . . . . . . . . . . . . . . . . . . . . . . . . . 84,455 92,648 64,992

12.1 Civilian personnel benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25,604 26,285 17,548

13.0 Benefits for former personnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 175 0 0

21.0 Travel and transportation of persons . . . . . . . . . . . . . . . . . . . . . . . 12,411 7,493 5,539

22.0 Transportation of things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 175 176

23.1 Rental payments to GSA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5,798 5,990 8,199

23.2 Rental payments to others . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0 0 0

23.3 Communications, utilities and miscellaneous charges . . . . . . . . . 1,573 1,118 1,124

24.0 Printing and reproduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347 187 188

25.1 Advisory and asssistance services . . . . . . . . . . . . . . . . . . . . . . . . . . 340 384 305

25.2 Other services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3,958 4,260 3,382

25.3 Purchases of goods and services from Government accounts . . . . 29,599 27,094 27,639

25.7 Operation and maintenance of equipment . . . . . . . . . . . . . . . . . . . 5,889 3,316 2,632

26.0 Supplies and materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 581 667 669

31.0 Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,256 638 890

41.0 Grants, subsidies, and contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . 3,724 1,015 8,746

42.0 Insurance claims and I ndemnities. . . . . . . . . . . . . . . . . . . . . . . . . . . 0 1,000 1,005

Subtotal, Direct obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175,747 172,270 143,034

99.0 Subtotal, Reimbursable obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 864 0 80,000

99.9 Total new obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176,611 172,270 223,034

52


53



RAILROAD RESEARCH AND DEVELOPMENT

APPROPRIATIONS LANGUAGE

[railroad research and development] RAILROAD RESEARCH AND

DEVELOPMENT

For necessary expenses for railroad research and development,

$40,000,000, to remain available until expended.

54

Exhibit III-1


Summary by Program Activity


Funding requested in the Railroad Research and Development Program provides science and

technology support for FRA’s rail safety rulemaking and enforcement efforts. It also stimulates

technological advances in conventional and high-speed railroads. The program focuses on the

following areas of research:

FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST

CHANGE

FY 2010-2012

Track Research Program

Track and Structures 5,450 5,450 5,450 -

Track and Train Interaction 3,600 3,600 3,800 200

R&D Facilities and Test Equipment 2,550 2,550 2,850 300

Railroad Cooperative Research Program - - 500 500

Equipment and Operating Practices

Research Program

Human Factors 3,270 3,270 3,670 400

Rolling Stock and Components 3,000 3,000 3,000 -

Hazardous Materials Transportation 1,550 1,550 1,550 -

Train Occupant Protection 4,600 4,600 4,700 100

Railroad System Issues 3,623 3,623 4,010 387

Signal Train Control and

Communications Research Program

Train Control 7,870 7,870 8,270 400

Grade Crossings 2,100 2,100 2,200 100

TOTAL 37,613 37,613 40,000 2,387

Positions

Direct Funded 0.0 0.0 0.0 0.0

Reimbursable, Allocated, Other 0.0 0.0 0.0 0.0

Total Positions 0.0 0.0 0.0 0.0

FTE



Total FTE 0.0 0.0 0.0 0.0

Appropriations, Obligation Limitations, and Exempt Obligations

($000)

55

Railroad system issues. Provides for research in railroad system safety, performance-based

regulations, railroad systems and infrastructure security, railroad environmental issues, and

locomotive R&D.

Human factors. Provides for research in train operations, and yard and terminal accidents

and incidents.

Rolling stock and components. Provides for research in on-board monitoring systems,

wayside monitoring systems, and material and design improvements.

Track and structures. Provides for research in inspection techniques, material and

component reliability, track and structure design and performance, and track stability data

processing and feedback.

Track and train interaction. Provides for research in derailment mechanisms, and vehicle-

track performance.

Train control. Provides for research in train control test and evaluation.

Grade crossings. Provides for research in grade crossing human factors and infrastructure.

Hazardous materials transportation. Provides for research in hazmat transportation safety,

damage assessment and inspection, and tank car safety.

Train occupant protection. Provides for research in locomotive safety, and passenger car

safety and performance.

R&D facilities and test equipment. Provides support to the Transportation Technology

Center (TTC) and the track research instrumentation platform. TTC is a Government-owned

facility near Pueblo, Colorado, operated by the Association of American Railroads under a

contract for care, custody, and control.

Rail Cooperative Research Program. Enables the FRA to (1) efficiently gather inputs from

all stakeholders (e.g., railroads, states, technology providers, and university researchers) in

the Nation’s rail transportation system to establish research priorities; and, (2) accelerate the

real-world impact of FRA’s Research and Development Program by strengthening and

broadening the academic and industrial railroad technical communities.

56

Exhibit III-1a


Summary Analysis of Change from FY 2010 Actual to FY 2012 Appropriations, Obligation Limitations, and Exempt Obligations

($000)

Item FTE ($000)

FY 2010 Actual - 37,613

Redirected Funds - -

Subtotal, FY 2011 CR Annualized 37,613

Baseline Changes:

Annualization of FY 2011 FTE - -

Annualization of FY 2011 Comparability Pay Increase (0.0%) - -

FY 2012 Comparability Pay Increase (0.0%) - -

Non-Pay Inflation (0.5%) - -

GSA Rent - -

WCF - -

Subtotal, Baseline Changes - 0

Program Changes:

Track Research Program - 1,000

Track and Structures - -

Track and Train Interaction - 200

R&D Facilities and Test Equipment - 300

Railroad Cooperative Research Program - 500

Equipment and Operating Practices Research Program - 887

Human Factors - 400

Rolling Stock and Components - -

Hazardous Materials Transportation - -

Train Occupant Protection - 100

Railroad System Issues - 387

Signals, Train Control, and Communications Research Program - 500

Train Control - 400

Grade Crossings - 100

Subtotal, Program Changes - 2,387

TOTAL FY 2012 REQUEST - 40,000

Change from

FY 2010 to 2012

57

Exhibit III-2


Annual Performance Results and Targets

The Federal Railroad Administration is in the process of developing performance measures to

support the new DOT Strategic Plan. In addition, DOT is developing a new, 5-year research and

development strategic plan.

58

Detailed Justification for Railroad Research and Development


FY 2012 - Railroad Research and Development - Budget Request ($000)

WHAT IS THIS PROGRAM?

The Railroad Research and Development Program (R&D) provides science and technology

support for FRA’s rail safety rulemaking and enforcement efforts. It stimulates technological

advances in conventional and high-speed railroads and serves as the catalyst for the

Administration’s vision and policy, and continues to advance the science of railroad safety into

the 21st century. The program focuses on the following areas of research:

FY 2010

ACTUAL

FY 2012

REQUEST

CHANGE

FY 2010-2012

Track Research Program

Track and Structures 5,450 5,450 -

Track and Train Interaction 3,600 3,800 200

R&D Facilities and Test Equipment 2,550 2,850 300

Railroad Cooperative Research Program - 500 500

Subtotal, Track Research Program 11,600 12,600 1,000

Equipment and Operations Practices

Research Program

Human Factors 3,270 3,670 400

Rolling Stock and Components 3,000 3,000 -

Hazardous Materials Transportation 1,550 1,550 -

Train Occupant Protection 4,600 4,700 100

Railroad System Issues 3,623 4,010 387

Subtotal, Equipment and Operations

Practices Research Program 16,043 16,930 887

Signals, Train Control, and Communications

Research Program

Train Control 7,870 8,270 400

Grade Crossings 2,100 2,200 100

Subtotal, Signals, Train Control, and

Communications Research Program 9,970 10,470 500

TOTAL 37,613 40,000 2,387

59

Railroad system issues. Provides for research in railroad system safety, performance-based

regulations, railroad systems and infrastructure security, railroad environmental issues, and

locomotive R&D.

Human factors. Provides for research to evaluate risks due to Human Factors related failures

and identify, develop, and support the introduction of solutions.

Rolling stock and components. Provides for research in on-board monitoring systems, wayside

monitoring systems, and material and design improvements to address equipment related risks.

Track and structures. Provides for research in inspection techniques, material and component

reliability, track and structure design and performance, and track stability data processing and

feedback.

Track and train interaction. Provides for research in derailment mechanisms, and vehicle-

track performance.

Train control. Provides for research in train control test and evaluation.

Grade crossings. Provides for research in grade crossing human factors and infrastructure.

Hazardous materials transportation. Provides for research in hazmat transportation safety,

damage assessment and inspection, and tank car safety.

Train occupant protection. Provides for research in locomotive safety, and passenger car

safety and performance.

R&D facilities and test equipment. Provides support to the Transportation Technology Center

(TTC) and the track research instrumentation platform. TTC is a government-owned facility

near Pueblo, Colorado, operated by the Association of American Railroads under a contract for

care, custody, and control.

Rail Cooperative Research Program. Enables the FRA to (1) efficiently gather inputs from all

stakeholders (e.g., railroads, states, technology providers, and university researchers) in the

Nation’s rail transportation system to establish research priorities; and, (2) accelerate the real-

world impact of FRA’s R&D by strengthening and broadening the academic and industrial

railroad technical communities.


Train Control

To advance train control technologies that improve safety, operational efficiency, and reduce fuel

consumption, anticipated FY 2011 accomplishments include:

TTC completion of testing Higher Performance Digital Radio for use in PTC systems.

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Vital Consist and Rear End Position Determination. The accurate determination of train

weight and length as well as an accurate determination of rear end position is critical to

implementation of moving block operation, besides further enhancing the operating

efficiency of PTC.

Data Encryption and Key Management. This is a follow-on phase of the FY 2010 effort

to develop a standard data encryption and key management for the industry-wide PTC

data network. The focus is for the transparency and ease of key distribution and

replacement for the data encryption scheme adopted for the interoperable train operation

specification.

Employee-in-charge Portable Terminal. The funding is to complete the final phase of the

development of an employee-in-charge portable terminal as a safety critical device for the

roadway workers to protect their work zones from train intrusion, in a PTC operating

environment.

Grade Crossings

Grade Crossing Obstruction Detection. Development of a low cost system to determine

when a person or vehicle is in the grade crossing. The life cycle cost of the system must

be less expensive than loop detectors. The system will be tested and compared to loop

detectors in terms of installation, maintenance, and operation costs, as well as safety,

effectiveness, and reliability.

Automated Extraction of Grade Crossing Features from LIDAR Data. A prototype

system, utilizing LIDAR technology was developed in FY 2010. Due to the success of

this previous work and its potential, in FY 2011 FRA plans to investigate the feasibility

of automated extraction of additional grade crossing parameters, such as sight lines and

the angle of intersection between the roadway and rails.

Track and Train Interaction

The objective of this program is to determine the influence of track geometry characteristics and

vehicle speeds on extreme lateral and vertical dynamic forces and accelerations that can lead to

derailment or compromise passenger safety. A comprehensive computer program for modeling

and simulating railway vehicle/track systems is being developed, with an emphasis on the

dynamic performance of both vehicle and track and their interactions through the wheel/rail

interface.

Simulation of Multi-body Railroad Vehicle/Track Dynamics. The detailed wheelset

model provides capabilities for performing simulations that address safety issues

associated with passenger and freight operations, at both low and high speeds. FY 2011

Planned Accomplishment is to review feedback from the FY 2010 beta-version of

SAMS-RAIL. Recommendations from the eight user groups currently testing the

software will be evaluated and the software will be developed further as required.

Cooperative Agreement with National Research Council (NRC)-Canada. Researchers

from NRC-Canada are cooperating with FRA and Amtrak to enhance the performance

and safety of Amtrak services in the Northeast Corridor, by improving wheel/rail profile,

grinding, and lubrication practices. A new wheel profile has been designed for Amtrak’s

high-speed Acela cars. The new design has been installed under an Acela power and

61

coach cars for the last couple of years. Preliminary analysis indicates that the new profile

has improved the wheel life for the both test cars significantly. In addition, FRA

supported Amtrak’s rail grinding program for the last couple of years and we developed

new grinding templates for Amtrak.

In FY 2011, we plan to conduct further monitoring and develop recommendations to

support Amtrak in optimizing wheel/rail interface system management, including rail

grinding. Also, in FY 2011, studies will be completed to plan future development of

FRA’s Transportation Technology Center near Pueblo, Colorado. Test track

enhancements are being considered to enable next generation equipment to be qualified

for safe operation in the U.S.

Track and Structures

A component of this program is to develop and improve inspection technologies to assess track

conditions from mobile platform.

Autonomous Track Geometry Measurement System (ATGMS). A prototype was

designed that will allow for testing geometry characteristics remotely up to 90 days

without user intervention. Track anomaly data will be detected and shipped to a secure

website to assist maintenance personnel in locating track defects. In FY 2011, we plan

continued data collection and system improvements on ATGMS installed on Amtrak

Autotrain service (300,000 miles) and to migrate the prototype system to Amtrak’s

Northeast Corridor regional service.

Improved Ground Penetrating Radar (GPR). This joint FRA and railroad industry project

for track subsurface evaluation using GPR has been in process for the last couple of

years. FY 2011 anticipated accomplishments are the investigation of the feasibility of

soil type determination/classification (track-bed structure materials) and the measurement

of related parameters such as in-situ density and moisture content.

Laser-Based Rail Flaw Inspection System. The FRA has developed a laboratory

prototype capable of detecting rail defects from a moving platform without physical

contact with the rail, as current systems require. The next stage of development is to

produce a prototype that can be used in service.

A component of this program is to provide testing and analytical support for FRA’s safety

mission, and the development of performance based track safety standards. As new technologies

emerge and train speeds increase, the timely development of technical information, data, and

expertise is crucial to making sound decisions on issues affecting the safe operation of rail

vehicles.

Modification to High-speed Track Safety Standard (Rail Safety Advisory Committee).

FRA and the Volpe Center are supporting the rulemaking for High-speed Track Safety

Standards by explaining the new rule to stakeholders and assisting them in implementing

it.

62

Training FRA’s Field Inspectors. FRA will deliver the new vehicle-track interaction

training course to FRA inspectors.

Hazardous Material Transportation

Anticipated FY 2011 accomplishments include completion of a robust risk analysis that

identifies the current major contributors of risk to hazmat operations involving toxic inhalation

material. The analysis will also focus on short term changes to industry and FRA standards,

hazmat routing, improved tank car technologies, and the implementation of PTC systems.

Progress is expected in research funded under the cooperative Advanced Tank Car Cooperative

Research Program.

Railroad Systems Issues

A component of this program is to evaluate the benefits to energy consumption and

environmental impact of alternative fuels and new technologies. The planned FY 2011

accomplishments are completing revenue service demonstration/evaluations of bio-diesel and

launching a cooperative effort with the Department of Energy to identify and evaluate

opportunities for improving the energy efficiency. A further component of this program is to

identify areas of safety risk within existing or proposed rail operations and to develop and refine

techniques to manage effectively those risks. We also plan develop and apply proven evaluation

methods to assess R&D program effectiveness in terms of real world risk reduction. We will

continue to provide technical input to the Risk Reduction Program, Rail Safety Advisory

Committee, and compliance with the ADA requirements for passenger boarding.

Human Factors

The Confidential Close Call Reporting System, which has been successfully demonstrated to

improve safety in pilot projects involving Labor and Management on several railroads, is now

being expanded to include others. Other focus areas include reduction in risks due to fatigue and

distractions and assuring the safety and effectiveness of locomotive displays and controls.


The R&D program is essential to address those areas that affect the safety, energy efficiency, and

environmental sustainability in the railroad industry, while assuring that safety is maintained.

With expanded intercity passenger rail service – including high-speed regional and emerging

corridor services – operating on infrastructure shared with freight railroads and freight rail traffic

projected to grow at the same time, R&D support to safety and capacity building is essential.

Track: The Track Research program contributes vital inputs to the FRA’s safety regulatory

processes by maintaining a significant knowledge base within FRA to address effectively the

agency’s proposed changes in rules and performance-based regulations. The program performs

significant development, testing and training of staff on rail equipment. FRA-owned facilities

provide the infrastructure necessary to conduct experiments and test theories, concepts, and new

technologies in support of the R&D program.

In addition, the Track Research program is closely partnered with the railroad industry in

developing new alternative inspection technologies necessary to reduce costs and provide

63

positive impact on the efficiency and effectiveness of the railroads. Currently, all Class 1

Railroads utilize technologies developed under the Track Research program to locate high-risk

track defects. This program is vital for understanding the science behind railroad track and

structures, and is essential for reducing the risk of derailments and other accidents attributable to

the dynamic interaction between the track and moving vehicle through the development of more

capable and more efficient technologies. As train speeds increase with the development of high-

speed rail, research in this area will be essential to maintaining precise engineering and safety

regulations. The Track Research program performs research within the areas of railroad system

safety and railroad systems and infrastructure. Activity areas under Track Research are:

Track and Structures: Researches railroad engineering and design, which includes track

inspection technologies and techniques, rail material, fastener component reliability, and

the stability of the track foundation.

Track and Train Interaction: Conducts research of preventative derailment mechanisms

and mitigation methods. In addition, this program generates the fundamental science of

the wheel and rail dynamic interactions.

R&D Facilities and Test Equipment: Supports testing, research and implementation at

the Transportation Technology Center (TTC) and track research test vehicles. TTC is a

Government-owned facility near Pueblo, CO, operated under a contract for care, custody,

and control by a subsidiary of the Association of American Railroads.

Rail Cooperative Research Program: Enables FRA to (1) efficiently gather inputs from

all stakeholders (e.g.: railroads, States, technology providers, and university researchers)

in the Nation’s rail transportation system to establish research priorities; and (2)

accelerate the real-world impact of FRA’s R&D program by strengthening and

broadening the academic and industrial railroad technical communities.

Equipment and Operating Practices: The Equipment and Operating Practices Research

Division focuses on safety improvements. The railroad depends on the reliability of people, as

well as infrastructure, equipment, and control systems to keep the rails safe. Railroad operating

workers need knowledge, training, tools, and alertness to do their jobs properly and to ensure the

public, their coworkers,’ and their own safety. The transportation of passengers and hazardous

materials by railroads present situations that require special attention to ensure that we maintain a

high level of safety. Activity areas under Equipment and Operating Practices Research are:

Human Factors: Focuses on areas where individuals can affect the safe performance of

rail operations. Without the necessary funding, safety in the railroad industry would

degrade. In part, due to success in the reduction of equipment and track related accidents,

human factors-causes now account for over a third of all accidents. With the introduction

of new technologies, like PTC and Electronically Controlled Pneumatic Brakes and the

expansion of high-speed rail, emphasis on human factors, R&D is essential to prevent

growth in human factors caused accident rates.

Rolling Stock and Components: Researches locomotive and railcar vehicles,

components, and methods to improve the inspection and monitoring of such equipment.

Automated inspection technology will be playing a broader and more significant role in

safety assurance in the future. This program will help assure the benefits of such

technology are realized without introducing any new sources of safety risk.

Hazardous Material Transportation: Researches hazardous materials transportation

safety, damage assessment and inspection, and tank car safety.

64

Train Occupant Protection: Researches locomotive safety and passenger car safety and

performance.

Railroad Systems Issues: Researches railroad system safety, performance-based

regulations, railroad systems and infrastructure security, and railroad environmental

issues.

Signals, Train Control, and Communication: The Signals, Train Control, and

Communication Research program plays an important role in advancing vital and non-vital train

control safety technologies used by freight, intercity passenger, and commuter railroads. The

program provides a venue for fostering promising new research ideas by providing funding to

universities and small businesses to spearhead safety and performance issues facing the industry

using alternative and innovative ways. In addition, the research conducted by this program

supports FRA’s safety regulatory processes and rule makings. Activity areas under Signals,

Train Control, and Communications Research are:

Train Control: The Train Control program in general is a cooperative effort between

FRA, Class 1 railroads, the Association of American Railroads, and other interested

entities. Through this cooperative effort, which includes technology exchanges and field-

testing on the railroads, the framework for system integration and interoperability is

being developed.

Rail industry stakeholders rely upon this program to conduct the testing necessary to

prove the safety, interoperability, and performance of new technologies, products, and

methodologies. One of its key elements is establishing cooperative relationships with the

Transportation Technology Center (TTC) and freight railroads to perform tests in a

controlled environment, as well as in live revenue service to insure the proper functioning

and reliability of the new technology and products.

The Train Control program will assist in achieving the statutory mandate of nationwide

deployment of PTC systems by December 31, 2015. PTC will prevent train-to-train

collisions, over-speed derailments, worker injuries from train incursion in the work

zones, and incidents from wrong track switch position. However, even though PTC

systems have been proven in FRA demonstration programs, the past development efforts

revealed some necessary enhancement and improvement in the technology, especially in

the area of braking distance prediction for trains, communication throughput and

robustness, and interoperability. This research program will focus on these areas to

provide technology solutions to insure both safety and operating efficiency for Class 1

railroad and commuter agency reliance on standards for PTC designs. With the

implementation of an interoperability standard in 2011, the Class 1 railroads and

commuter agencies will be able to adopt a much improved braking algorithm in their

PTC systems. In addition, in 2012, we will design and produce prototypes for standard

220 MHz data radios.

Grade Crossing: The objectives of the Grade Crossing program are to identify

technologies, methodologies, and hardware that will increase safety and lower collisions

and fatalities.

65

The Grade Crossing and Trespassing Prevention Program is another vital program focused at advancing safety technologies, education, and outreach to reduce accidents and fatalities at grade crossings. Grade crossings present a major hazard to motor vehicle drivers, as well as pedestrians, and are the second greatest cause of fatalities and injuries in the railroad industry. Many grade crossing accidents are directly due to motorist and commercial vehicle operator behavior, with 53 percent of accidents occurring at passive grade crossings. In 10 percent of accidents, the motorists and commercial vehicle operators breached through lowered gates. This program area focuses on vehicular operators risk behaviors (motivation, expectations, and perceptions) and grade crossing and train systems design changes to enhance safety. On-going projects in this program area include Evaluation of Acoustic Warnings, Causal Analysis of Driver Behavior, and Development of a Grade Crossing Data Collection Device. These projects aim at reduction of grade crossing accidents to protect both the public and the railroads.

HOW DO YOU KNOW THE PROGRAM WORKS?

FRA uses the GPRA process to establish performance metrics and evaluate program performance. The Office of Research and Development focuses on supporting three Departmental Goals: Safety, State of Good Repair, and Economic Competitiveness. However, the ultimate indication that the program works is the successful adaption and implementation of new technologies by the rail industries. Having railroad industries adopt and implement multiple technologies for daily use improves the safety and operational efficiency of railroads and reduces costs.

Safety Goal: The Office of Research and Development provides the science and technology in the rule-makings process to support the Safety Goal of reducing accidents and incidents. The table below reflects a reduction in reportable train accidents over the last six years.

Reportable Train Accidents, 2004 to 2009

Source: FRA safety database

0 0.2 0.4 0.6 0.8 1.0

1.2 1.4 1.6 1.8

2004 2005 2006 2007 2008 2009 Num

ber

of T

rain

Acc

iden

ts p

er M

illio

n Tr

ain-

Mile

s

Equipment Human Factors Misc

Track Signal

66

Track Research: Research in this area aims to reduce the risk of derailments and other

accidents attributable to the dynamic interaction between the track and moving vehicles,

and to identify causes which are generally not evident from the lone examination of track

or equipment. This program reduces transportation-related injuries and accidents through

the science of engineering development and testing of railroad inspection technologies,

and analytical support to the Office of Railroad Safety program.

Over the last six years, there has been a 29 percent decrease in track-related train

accidents. Railroads have adopted developing technologies contributed by the Track

Research program, such as:

o Gage Restraint Measurement System (GRMS), which is a technology used to

assess tie and fastener;

o Vehicle/track interaction (VTI) monitoring system developed for Amtrak and all

Class I;

o Joint Bar Inspection System, which is an image–based inspection technology that

assesses joint bar systems effectively and efficiently.

In addition, the Track Research program’s refinements in the rules have aided in

increased productivity and decreased derailments.

Equipment and Operating Practices Research: Human Factors research aims to

reduce the risk of injury and fatalities and support a safer environment for rail workers to

perform their duties. Research in the Hazardous Materials program is to continue to

support transportation safety, damage assessment and inspection, and tank car safety.

The number of accidents and incidents in the railroad industry has decreased by over

24 percent from 2005 to 2009. This program continues to produce the scientific and

engineering data and analysis which is used by railroads, rail car builders, locomotive

manufacturers, shippers and both Federal and State Governments to continue to develop

and apply new safety procedures and technologies which have, in part, fueled this trend.

This research has directly resulted in new Federal safety standards for conventional rail,

high-speed rail, and hazmat transportation, which again has contributed to the reduction

of accidents.

Human Factors today account for nearly 33 percent of all railroad accidents. Behavioral

and work environment research and development has produced pilot programs which are

enabling the railroads and rail labor to work together to identify ways to solve this

problem area. Because of these successful pilots, other railroads and industry sectors are

embracing the lessons learned and adopting many of the new procedures to further

improve safety. Fatigue continues to be an area of concern. Split shifts for commuter

service crews, irregular shifts for extra board crews and lack of effective guidance and

enforcement for rest requirements are areas that need further assessment and are very

likely to require either rule changes or voluntary changes in industry recommended

67

practice to avoid increased probability and consequences of fatigue related accidents.

Continued research in human factors is necessary to reduce railroad accidents.

Signals, Train Control, and Communication Research: FRA’s Signals, Train Control,

and Communication program is aimed at improving operating safety through PTC to

prevent train to train collision, over-speed protection, protect roadway works, and provide

for remote switch monitoring capability. Grade Crossing research programs aim to

reduce fatalities and injuries involving accidents between trains and motor vehicles and

pedestrians.

The research programs target the needs of the rail industry and are committed to

advancing technologies to improve safety and operational efficiencies. To date, many

technologies have been developed to enhance PTC systems and improve grade crossing

safety, such as:

o Adaptive Enforcement Algorithm

o Roadway worker protection Employees In Charge wireless device

o Interoperability standards

With these developments, the railroads were able to implement PTC systems, such as

Amtrak’s Incremental Train Control System in Michigan and BNSF Electronic Train

Management System in Illinois and Texas. Other railroads have adopted the technologies

in their pilot PTC systems. Also, through our sponsorship, the industry is working to

establish the interoperability standard by the end of 2010. All these will enable a steady

rollout of the mandated PTC deployment on close to 70,000 route miles of operating

railroad by 2015.

State of Good Repair Goal:

Track Research: The Track Research program acts as the science behind the

development of performance-based track safety standards needed to keep the U.S.

railroads safe and efficient. New developments and engineering occur to provide new

and effective methods to enhance rail inspection techniques. In addition, this program

ensures continuation of site improvements for the TTC, a state of the art research facility

in Pueblo, CO.

Economic Competiveness Goal: R&D focuses on improving operational efficiencies,

increasing capacity, and lowering operating costs.

Track Research: This program improves inspection efficiency by reducing required

track time and improves planning and economic effectiveness.

Equipment and Operating Practices Research: The objective of this program

includes: (1) the definition of equivalent safety for new foreign-built designs, (2) active

accident investigations for both passenger and freight operations to help clarify existing

mechanisms of injury and fatality to better define performance scenarios of interest, and

(3) understanding new injury mechanisms possibly introduced by new equipment.

68

Signals, Train Control, and Communication Research: Enhancements to the PTC

system will help improve operating efficiencies, increase capacity, and lower operating

costs.


In FY 2012, FRA requests $40 million for the Railroad Research and Development appropriation

to support activities in (1) the Track Research Program, (2) the Equipment and Operating

Practices Research Program, and (3) the Signals, Train Control and Communications Research

Program. This request is a $2.387 million increase over the enacted FY 2010 base.

Track Research Program: ................................................................................................ $1.000M

Track requests a total of $12.6 million to support research activities that focus on and provide

improved safety, efficiency, and cost savings by improving track inspection technologies, and

wheel/rail and vehicle/track interaction. As new technologies continue to emerge and train

speeds increase, the timely development of technical information, data, and expertise is crucial to

issues affecting the safe operation of rail vehicles on U.S. tracks. With increased emphasis on

building and operating a nationwide high-speed passenger rail service and infrastructure, the

requested FY 2012 resources will also help to support the qualification, implementation, and

acceptance of any new high-speed vehicle/track operations in the country.

This request will enable FRA to focus on fundamental research and development of tools and

simulation programs such as the vehicle/track interaction system. We will deploy inspection

technologies like the autonomous geometry measurement system (ATGMS) on the Amtrak

Northeast Corridor and the rail temperature measurement system. We will develop a Track Data

Integrated Display with Geographic Information System (GIS) capabilities that will enhance

research, policy, and safety activities through improved access and data integration. The

program will continue to support the Office of Railroad Safety in rule making and qualification

vehicle/track operation and support in Cant Deficiency Waivers, Railroad Safety Advisory

Committee/Notice of Proposed Rule-Making (NPRM), and Acela Autonomous Ride Monitor

(ARM) Monitoring.

This program will continue to support real-world tests and research demonstrations performed by

major universities across the country. By enabling partnerships with railroads, States,

technology providers and university researchers, FRA will minimize the time from concept

identification to measurable industry implementation and results.

Specific increases to this program are as follows.

Track and Train Interaction.................................................................................... $0.200M

Research in this area aims to reduce the risk of derailments and other accidents

attributable to the dynamic interaction between the track and the moving vehicles, as well

as, identifying causes which are generally not evident from the lone examination of track.

Other benefits include the reduction of undesirable impact forces and vibrations that

increase safety-critical wear and fatigue defects. Research in this program will focus on

fundamental research, development of tools and simulation programs, development of

inspection technologies and support of the Office of Railroad Safety in rule making and

69

qualification vehicle/track operation. The additional funds requested will support

research activities that will provide improved safety, efficiency, and cost saving by

improving wheel/rail interface, improving safer and faster operation of trains and

improve the inspection and maintenance of the system.

R&D Facilities and Test Equipment ....................................................................... $0.300M

The R&D Facilities and Test Equipment programs play an important role in rail

transportation technology development, standards-development, testing, and training.

The Transportation Technology Center (TTC) is the inter-modal FRA-owned research

facility located near Pueblo, Colorado. This unique and valuable facility covers almost

52-square miles of laboratories, and 48-square miles of railroad testing track. Over the

years, TTC has been utilized by the FRA and the railroad community for full-scale

railroad equipment and track testing, such as crashworthiness of various types of

equipment, track research testing, and new and untried equipment dynamics evaluations.

The primary goals of this program are to maintain the one of a kind infrastructure at TTC

that accommodates the testing and evaluation of intelligent railroad systems technologies.

The additional funds requested will be used for site investment and improvement projects

needed to ensure that TTC remains a viable facility with state of the art

research/testing/training capabilities; and for continued demonstration of R&D research

products/ideas to advance and improve track inspection technologies while maintaining

capabilities to independently evaluate railroad infrastructure integrity. Funding will also

be used for the purchase of new wheel truing machines for the TTC facility, and the

development and demonstration of autonomous track geometry measurement systems

(ATGMS), which is an unattended real-time track geometry measurement system with

immediate web-based reporting capability.

Continued funding of this program is critical to maintain FRA’s unique capabilities for

the R&D facilities and equipment, especially with increased focus on high-speed intercity

passenger rail programs. However, due to limited funding available for the TTC facility,

many elements of the facility have reached the end of or are near the end of their useful

lifecycle. Appropriate funding on an annual basis is required to achieve its mission goals,

and recurring funding for R&D equipment is also required to prevent any delays in

technology demonstrations.

National Cooperative Rail Research Program ....................................................... $0.500M

Recognizing the potential benefits to energy consumption, environmental stewardship,

and transportation safety, Congress and the Administration have directed FRA to begin to

establish high-speed rail operations across the Nation and to foster the introduction of

new technology for all rail transport so that safety continues to be assured while

increasing demands are met. Specifically, the National Cooperative Rail Research

Program (NCRRP) is authorized under section 306 of PRIIA.

FRA established NCRRP, similar to the aviation, highway, and transit cooperative

research programs at the Transportation Research Board of the National Academy of

Sciences. NCRRP will enable the FRA to gather inputs efficiently from all stakeholders

70

in the Nation’s rail transportation system to establish research priorities. It is also

expected to help accelerate the real-world impact of FRA’s R&D by strengthening and

broadening the academic and industrial railroad technical communities. Partnerships that

include railroads, states, technology providers, and university researchers will minimize

the time from concept identification to measurable industry impact. While the initial

funding (through the Network Development program) and focus of NCRRP will be high-

speed intercity passenger rail, these funds will permit NCRRP to begin to address other

key railroad research needs.

Equipment and Operations Practices Research Program: .............................................. $0.887M

Equipment and Operating Practices requests a total of $16.9 million that will enable FRA to

provide the support necessary to address the Administration’s top priorities for transportation

safety including the safety of passenger rail, hazmat transportation, and human factors related

safety such as fatigue and distraction, as well as the appropriate introduction of technology in a

manner to enhance safety and avoid unintended consequences. Some of the key contributions

anticipated in FY 2012 include the implementation and assessment of new standards and

guidelines for crashworthiness and train occupant protection. Additionally, FRA will implement

standards and procedures to identify and address risk due to fatigue and distraction in rail

transportation and human-centered design methods for PTC. FRA will develop the next

generation hazmat tank car design (working with the Advanced Tank Car Research Program)

and guidelines for the implementation of automated wayside inspection systems to assure freight

car safety. Specific program increases are as follows.

Human Factors: ................................................................................................ $0.400M

The Human Factors program focuses on areas where individuals can impact the safe

performance of rail operations. Without the necessary funding, safety in the railroad

industry would degrade and result in human factors accidents. Research work is divided

among three major subprogram areas.

Railway Worker & Operator Performance: Individuals and groups of workers perform

safety critical jobs in the railroad industry under a variety of personal, environmental, and

social conditions that may affect job performance and safety. This program examines

these factors to identify those that have significant impacts on job performance and safety

and to suggest strategies to enhance safety and job performance.

Technology, Automation, and Systems Research: The introduction of new

communications and computer technology in the railroad industry will change how

workers in railroad operations perform their jobs. Automation and the management and

control of information are becoming essential components of railroad operations. This

program examines the safety implications of new technology and automation from a

human-centered design perspective. Specific areas of research include Human Factors

Issues of PTC, General Control and Display Configurations for Freight and High-speed

Passenger Locomotives, and Advanced and Future Technology, such as the feasibility of

Moving-Map and Head-Up Displays in the cab.

71

Organizational Culture and Safety Performance: Organizational culture, defined as

shared values, norms, and perceptions that are expressed as common expectations,

assumptions and views of rationality within an organization, plays a critical role in safety.

Organizations with a positive safety culture have been shown to be strongly correlated

with positive safety outcomes – fewer errors, accidents, injuries, and fatalities. This

subprogram focuses on pilot intervention projects to enhance railroad safety by

encouraging the development of a positive safety culture within the railroad industry.

Train Occupant Protection ..................................................................................... $0.100M

The train occupant protection program performs research in the areas of structural

crashworthiness, interior occupant protection, risk, emergency preparedness and

response, as well as fire safety. These program elements are critical to assessing the

current baseline levels of performance for both the passenger and freight systems,

developing new or alternative strategies to improve the performance of such systems, and

assessing the impact of introducing new systems across the North American rail

corridors. Since the 1930s, the approach to railroad occupant protection in this country

has been based on building a ―strong box‖ to surround the passengers. All passenger

railcars approved for interchange service must be able to sustain an 800,000-pound load

without permanent deformation. This approach has served the industry well for the last

75 years; however, new technology for Crash Energy Management has been developed

and successfully applied elsewhere around the world. The technology incorporates

energy dissipating crush zones at the end of rail vehicles, which enables the railcars to be

much lighter yet provides significantly better occupant protection and greatly improved

post accident train performance eliminating buckling and rollover that can result in

serious secondary collisions with wayside structures and trains on adjacent tracks. With

the American Recovery and Reinvestment Act providing funds for expanded high-speed

and intercity service, it is vitally important to assess the changes to the rail network and

the resulting risks that are introduced. Without this funding, it will not be possible to

develop new performance standards that can potentially allow innovative, new, lighter

robust car designs that will significantly improve energy efficiency.

Railroad System Issues: .......................................................................................... $0.387M

The Railroad Systems program develops information about operations at the

systems/cross disciplinary level to help assess the safety of different types of operation,

environmental impacts of different technologies currently in use or being developed for

the rail industry, implementation of technology and development or refinement of

industry standards and Federal regulations, and assesses the impact of increasing rail

congestion on capacity and safety across the national rail network.

The program elements contained within the Railroad System Safety research program are

critical to assessing the impact of introducing new technologies and operational practices

on the North American rail network. For example, research needs include such things as

improving energy efficiency and reducing emissions to meet the new EPA requirements.

With the renewed emphasis from both Congress and the Administration on energy and

the environment, this area has been expanded to enable expanded and more rapid

72

evaluation and demonstration of new technologies to facilitate the earliest possible real

world impact and adoption by industry.

Without this additional funding it will not be possible to develop the technical

information necessary to assess safety impacts due to a number of significant rulemaking

activities as a result of SAFETEA-LU and the Railroad Safety Improvement Act of 2008

(RSIA), which mandate many changes to how railroad operations will take place in the

future. Additionally without this funding, it will not be possible to advance technology

for alternative energy or assess improvements in environmental impact.

Signals, Train Control, and Communications Research Program: ................................ $0.500M

Signals, Train Control, and Communication requests a total of $10.5 million to ensure the

continuation of existing programs such as the Adaptive Enforcement Algorithm (AEA), which is

vital for the successful deployment of PTC systems. In FY 2012, FRA will publish the

Interoperability Standards to ensure seamless operational handover among all PTC systems

around the country. Key outcomes include the deployment of High Performance Digital Radio

to enhance Locomotive-Wayside wireless communications, and identifying grade crossing

technologies, methodologies, and hardware that will increase safety and continue the decrease in

collisions and fatalities.

In FY 2012, the program will develop applications of advanced railroad right of way

technologies, such as low cost technologies to upgrade passive crossings and develop strategies

to integrate crossing activation with highway traffic control and train control. In addition, this

program will develop a set of automated crossing profile measurement systems to accurately

map crossing layouts in three dimensions. Global positioning system (GPS) stamped data will

be collected and integrated into the FRA crossing database to identify unique characteristics of

crossings, including the severity of the hump and the road orientation with respect to the tracks.

FRA will communicate the outcomes of these programs as part of outreach to Federal, State, and

Local agencies to develop cooperative research and education programs aimed at identifying and

eliminating dangerous crossings.

Specific program increases are as follows.

Train Control .......................................................................................................... $0.400M

The Rail Safety Improvement Act of 2008 (RSIA) set far reaching goals to improve

railroad safety and risk reduction aiming at reducing the number and rates of accident,

incidents, injuries, and fatalities involving railroads train-to-train collisions, derailments,

and human factors. RSIA requires improving research efforts to enhance and promote

railroad safety and performance. In addition, RSIA mandated the deployment of PTC

system nationwide by December 31, 2015.

PTC is a new generation of train control system that employs modern digital technology

to integrate command, control, communications, and information systems for controlling

train movements with safety, security, precision, and efficiency. This system is to be

deployed on approximately 100,000 miles of high density mainline and dual use (freight

73

and passenger) tracks and 20,000 locomotives. PTC relies on real time wireless digital

communication schemes between trains, control centers, and wayside infrastructure to

maintain up-to-date train positions, movement authority transmission/reception, and

temporary speed restrictions. Global positioning systems, inertial navigation systems, or

radio frequency transponders are used to track the movement and location of the trains.

Databases and information processing equipment are also used for various decision-

making functions. By employing all these technologies, the trains can be continuously

monitored to ensure that they comply with the movement authorities and speed limits,

resulting in the following benefits:

Prevention of train to train collisions

Prevention of over-speed derailments

Protection of roadway workers

Ensuring that the switch positions are correct for safe movement

In addition, back office computer systems integrate data collected from PTC systems to

update other IT systems like scheduling to optimize train operation and management.

This program has two objectives: 1) to advance existing technologies and access new

technologies to implement PTC systems; and 2) to enhance the performance and

throughput of digital wireless communication systems to support the additional

requirements needed to implement PTC systems. Activities to accomplish advancing

control technologies include contracting technical support to develop and implement the

interoperability standards of PTC systems used by freight and passenger railroads; to

develop and integrate the adaptive braking algorithms to enhance precise braking

predictions under variety of operating conditions; and to develop a methodology to

determine the position of rear end of a train. Activities to accomplish enhancing

communications include contracting technical support to develop high performance

digital radio hardware and associated software and communication protocols; and to

assess the need for additional radio frequency spectrum to accommodate the additional

demand for throughput. With the High-Speed initiative, efficient and robust

communication is vital not just for safety but for increasing railroad operating efficiency.

All of these technologies are critical to successful PTC deployment by the mandated

deadline.

Grade Crossings ..................................................................................................... $0.100M

Grade crossings present a major hazard to motor vehicle drivers, as well as pedestrians,

and are the second greatest cause of fatalities and injuries in the railroad industry. Many

grade crossing accidents are directly due to motorist and commercial vehicle operator

behavior. About 53 percent of accidents occur at passive grade crossings because

motorists and commercial vehicle operators do not stop when a train is in the proximity

of the crossing. In 10 percent of accidents, the motorists and commercial vehicle

operators actually went around or through lowered gates. This program area focuses on

why motorists and commercial vehicle operators would take such risks (motivation,

expectations, and perceptions) and on changes to grade crossing and train systems design

to enhance safety. On-going projects in this program area include Evaluation of Acoustic

74

Warnings, Causal Analysis of Driver Behavior, and Development of a Grade Crossing

Data Collection Device.

The Rail Safety Improvement Act of 2008 (RSIA) set far reaching goals to improve

railroad safety and risk reduction aiming at reducing the number and rates of accident,

incidents, injuries, and fatalities involving grade crossing. To that effect, RSIA requires:

Improving research efforts to enhance and promote railroad safety and

performance.

Improving the identification of high-risk highway-rail grade crossings and

strengthening enforcement and other methods to increase grade crossing safety.

Preventing railroad trespasser accidents, incidents, injuries, and fatalities.

The objective of this program is to identify technologies, methodologies, and hardware

that will increase safety and continue the downward trend of collisions and fatalities.

Areas of focus will include developing and implementing research studies to improve

countermeasures and regulations to promote congestion mitigation and reduction of

incidents and casualties on our Nation’s rail network. The program will develop

applications of advanced railroad right of way technologies, such as low cost

technologies to upgrade passive crossings and develop strategies to integrate crossing

activation with highway traffic control and train control. Also, this program will develop

a set of automated crossing profile measurement systems to accurately map crossing

layouts in three dimensions. GPS stamped data will be collected and integrated into the

FRA crossing database to identify unique characteristics of the crossing including the

severity of the hump and the road orientation with respect to the tracks. The outcomes of

these programs will be communicated as part of the outreach to Federal, State and Local

agencies to develop cooperative research and education programs aimed at identifying

and eliminating dangerous crossings.

This program area is being expanded to allow for additional technology demonstrations

and to develop, define and facilitate the path to implementation in cooperation with the

highway and railroad communities and stakeholders. The majority of the effort

anticipated in this area will be for contracted technical support, cooperative agreements

and grants with limited equipment and materials acquisitions.

75

FEDERAL RAILROAD ADMINISTRATION RAILROAD RESEARCH AND DEVELOPMENT

Program and Financing Schedule (in thousands of dollars)

Identification code 690745-0-1-401 FY 2010 FY 2011 FY 2012

Actual Cont. Res. Pres. Bud.


0.01 Railroad system issues 3,795 4,251 4,010

0.02 Human factors 3,466 3,416 3,670

0.03 Rolling stock and components 5,467 3,767 3,000

0.04 Track and structures 5,158 5,948 5,450

0.05 Track and train interaction 4,092 4,549 3,800

0.06 Train control 5,572 10,420 8,270

0.07 Grade crossings 1,249 2,780 2,200

0.08 Hazardous materials transportation 1,450 2,497 1,550

0.09 Train occupant protection 4,510 5,035 4,700

0.10 R&D facilities and test equipment 2,719 3,268 2,850

0.11 Railroad Cooperative Research Program 0 0 500

0.12 Center for Commercial Deployment of Transp Tech CA 0 82 0

0.13 PEERS, IL 487 0 0

0.14 WVU Constructed Facilities Center 243 0 0

0.15 METROLINK - PTC 487 0 0

0.14 WVU Constructed Facilities Center 1,250 0 0

0.13 Ohio Hub Cleveland - Columbus Rail Corridor 0 475 0

0.91 Total direct program 39,945 46,488 40,000

8.00 Reimbursable program 1,503 2,000 0

9.00 Total obligations 41,448 48,488 40,000

Budgetary resources

Unobligated Balance:


10.21 Recoveries of prior year unpaid obligations 1,261 0 0

10.50 Unobligated balance (total) 11,198 8,875 0

Budget Authority:

11.00 Appropriation 37,613 37,613 40,000

Spending Authority from Offsetting Collections:

17.00 Collected 652 2,000 0


17.50 Spending authority fm offsetting collections (total) 1,512 2,000 0

19.00 Budget authority (total) 39,125 39,613 40,000

19.30 Total budgetary resources available for obligation 50,323 48,488 40,000

New obligations -41,448 -48,488 -40,000

19.40 Unobligated balance expiring or withdrawn 0 0 0


Change in obligated balances:

30.00 Unpaid obligations brought forward, Oct 1 (gross) 52,074 50,245 58,923

30.10 Uncollected customer payments from Federal sources, brought

forward, Oct 1

-992 -1,852 -1,852

30.20 Obligated balance, start of year (net) 51,082 48,393 57,071

30.30 Obligations incurred, unexpired account 41,448 48,488 40,000

30.40 Outlays (gross) (-) -42,016 -39,810 -42,168

30.50 Chg in Uncollected cust payments fm Fed Sources (unexpired) -860 0 0

30.51 Chg in Uncollected cust payments fm Fed Sources (expired) 0 0 0

30.80 Recoveries of unpaid prior year obligations, unexpired account -1,261 0 0

30.90 Unpaid obligations, end of year (gross) 50,245 58,923 56,755

30.91 Uncollected cust payments fm Fed Sources, end of year -1,852 -1,852 -1,852


Outlays (gross), detail:

40.10 Outlays from new discretionary authority 18,384 13,284 12,000



Offsets Against Gross Budget Authority and Outlays:


40.30 Federal sources 652 2,000 0

40.50 Change in uncollected customer payments fm Fed Sources

(unexpired)

860 0 0


40.70 Budget authority (net) 37,613 37,613 40,000

40.80 Outlays (net) 41,364 37,810 42,168


76

FEDERAL RAILROAD ADMINISTRATION RAILROAD RESEARCH AND DEVELOPMENT


2010 2011 2012

Identification Code 69-0745-0-1-401 Actual CR Annualized Request

Direct Obligations:

25.3 Other purchases of goods and services from Government . . . . . . 13,510 3,650 3,650

25.4 Operation and maintenance of facilities . . . . . . . . . . . . . . . . . . . . . . x 2,271 3,850 3,850

25.5 Research and development contracts . . . . . . . . . . . . . . . . . . . . . . . . .x 15,017 31,498 31,000

41.0 Grants, subsidies, and contributions . . . . . . . . . . . . . . . . . . . . . . . . . .x 9,147 7,450 1,500

Subtotal, Direct obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 39,945 46,448 40,000

99.0 Subtotal, Reimbursable obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 1,503 2,000 0

99.9 Total new obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 41,448 48,448 40,000

77

Exhibit III-1

GRANTS TO THE NATIONAL RAILROAD PASSENGER CORPORATION (AMTRAK)



The National Railroad Passenger Corporation (Amtrak) was established in 1970 through the Rail

Passenger Service Act. Amtrak is operated and managed as a for profit corporation with all

Board members appointed by the Executive Branch of the Federal Government, with the advice

and consent of the Senate. Amtrak is not an agency or instrument of the U.S. Government.

Since 2006, federal resources specifically for Amtrak have been provided through separate

appropriation accounts for capital, operating, and efficiency incentive grants.

FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST

CHANGE

FY 2010-2012

Operating Grants to the National Railroad

Passenger Corporation 1/ 563,000 563,000 0 (563,000)

Capital / Debt Service Grants to the National

Railroad Passenger Corporation 1/ 1,001,625 1,052,000 0 (1,052,000)

TOTAL 1,564,625 1,615,000 - (1,615,000)

Positions

Direct Funded 0 0 0 0

Reimbursable, Allocated, Other 0 0 0 0

Total Positions 0 0 0 0

FTE



Total FTE 0.0 0.0 0.0 0.0

1. In FY 2012, FRA has realigned all passenger rail program activities and resources. As a result, all resources previously

provided under Capital Assistance for High-Speed Rail Corridors and Intercity Passenger Rail Service, Operating Grants to the

National Railroad Passenger Corporation, and the Capital and Debt Services Grants to the National Railroad Passenger Corporation

accounts are proposed to be consolidated under the new National Rail System. These resources w ill be distributed betw een tw o

new accounts: (1) Netw ork Development and (2) System Preservation. Funds w ill be available for competitive and non-

competitive f inancial assistance.

The Capital Assistance for High-Speed Rail Corridors and Intercity Passenger Rail Service, Operating Grants to the National

Railroad Passenger Corporation, and the Capital and Debt Services Grants to the National Railroad Passenger Corporation accounts

w ere previously f inanced w ith discretionary, General Fund budget authority. In FY 2012, these activities w ill be f inanced w ith

mandatory contract authority, out of a new dedicated Rail Account of the Transportatsion Trust Fund (formerly the Highw ay Trust

Fund).

Notes:

78

In 2009, the American Recovery and Reinvestment Act (ARRA) provided $1.3 billion to Amtrak

for capital grants o which $450 million was designated for capital security grants to fund

enhancements in situational awareness, improvised explosive devices and Vehicle Borne

Improvised Explosive Device detection, risk assessment/risk reduction cycle optimization (when

vulnerabilities are discovered), and quick response communications within the intercity

passenger rail network. The remaining $850 million funds projects that remediate vulnerabilities

in the system's physical infrastructure and enhance national incident management and risk

mitigation capabilities in the intercity passenger rail network.

As part of the Administration’s surface transportation authorization proposal, Federal support for

the National Railroad Passenger Corporation will be included in the System Preservation

account, financed by mandatory contract authority out of the Rail account of the Transportation

Trust Fund.

79

Exhibit III-1a

GRANTS TO THE NATIONAL RAILROAD PASSENGER CORPORATION (AMTRAK)


($000)

Item FTE ($000)

FY 2010 Actual - 1,615,000

Baseline Changes:





GSA Rent - -

WCF - -

Subtotal, Baseline Changes 0.0 0

Program Changes


Corporation- (563,000)


Passenger Corporation- (1,052,000)

Subtotal, New/Expanded Programs 0.0 (1,615,000)

TOTAL FY 2012 REQUEST 0.0 0

1. In FY 2012, FRA has realigned all passenger rail program activities and resources. As a result, all

resources previously provided under Capital Assistance for High-Speed Rail Corridors and Intercity Passenger

Rail Service, Operating Grants to the National Railroad Passenger Corporation, and the Capital and Debt

Services Grants to the National Railroad Passenger Corporation accounts are proposed to be consolidated

under the new National Rail System. These resources w ill be distributed betw een tw o new accounts:

(1) Netw ork Development and (2) System Preservation. Funds w ill be available for competitive and non-


The Capital Assistance for High-Speed Rail Corridors and Intercity Passenger Rail Service, Operating Grants to

the National Railroad Passenger Corporation, and the Capital and Debt Services Grants to the National Railroad

Passenger Corporation accounts w ere previously f inanced w ith discretionary, General Fund budget authority.

In FY 2012, these activities w ill be f inanced w ith mandatory contract authority, out of a new dedicated Rail

Account of the Transportatsion Trust Fund (formerly the Highw ay Trust Fund).

Notes:

Change from

FY 2010 to FY 2012

80



GRANTS TO THE NATIONAL RAILROAD PASSENGER

CORPORATION APPROPRIATIONS LANGUAGE

[OPERATING SUBSIDY GRANTS TO THE NATIONAL RAILROAD PASSENGER

CORPORATION]

[To enable the Secretary of Transportation to make quarterly grants to the

National Railroad Passenger Corporation for the operation of intercity

passenger rail, as authorized by section 101 of the Passenger Rail

Investment and Improvement Act of 2008 (division B of Public Law 110-

432), $563,000,000, to remain available until expended: Provided, That

each grant request shall be accompanied by a detailed financial analysis,

revenue projection, and capital expenditure projection justifying the

Federal support to the Secretary's satisfaction: Provided further, That

concurrent with the President’s budget request for fiscal year 2012, the

Corporation shall submit to the House and Senate Committees on

Appropriations a budget request for fiscal year 2012 in similar format and

substance to those submitted by executive agencies of the Federal

Government.]

Explanation of Proposed Language Change:

Under the Administration’s surface transportation authorization proposal, operating, capital, and

debt service activities of the National Railroad Passenger Corporation (Amtrak) will be eligible

for competitive grants under the System Preservation and Renewal component of the new

National Rail System program, funded within the Rail Account of the Transportation Trust Fund.

No funds are requested in this account for 2012.

81

FEDERAL RAILROAD ADMINISTRATION OPERATING SUBSIDY GRANTS TO THE NATIONAL RAILROAD

PASSENGER CORPORATION


Program and Performance Language

Under the Administration’s surface transportation authorization proposal, Federal support for the

National Railroad Passenger Corporation (Amtrak) operations will be an eligible activity for

competitive grants under the System Preservation and Renewal component of the new National

Rail System program, funded within the Rail Account of the Transportation Trust Fund.




00.01 Operating subsidy grants 563,000 563,000 0

00.91 Total direct program 563,000 563,000 0

08.00 Reimbursable program 0 0 0

09.00 Total obligations 563,000 563,000 0


10.00 Unobligated balance available, start of year 0 0 0

New budget authority (gross) 563,000 563,000 0


New obligations (563,000) (563,000) 0


19.41 Unobligated balance available, end of year 0 0 0

New budget authority (gross), detail:

Discretionary:

11.00 Appropriation 563,000 563,000 0

Appropriation (total) 563,000 563,000 0

19.00 Total new budget authority (gross) 563,000 563,000 0


30.20 Obligated balance , start of year 0 0 0

30.30 New obligations 563,000 563,000 0

30.40 Total outlays (gross) (563,000) (563,000) 0

31.00 Obligated balance, end of year 0 0 0


40.10 Outlays from new discretionary authority 563,000 563,000 0

40.11 Outlays from discretionary balances 0 0 0

40.20 Total outlays (gross) 563,000 563,000 0


40.70 Budget authority (net) 563,000 563,000 0

40.80 Outlays (net) 563,000 563,000 0

Unpaid Obligations, EOY 0


82




2010 2011 CR 2012


Direct Obligations:

41.0 Grants, subsidies, and contributions 563,000 563,000 -

99.9 Total new obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 563,000 563,000 -

83



Amounts included in Baseline Projection of Current Policy

The Administration proposes to reclassify all surface transportation outlays as mandatory,

consistent with the recommendations of the President’s National Commission on Fiscal

Responsibility and Reform, and to also move a number of current General Fund programs into

the Transportation Trust Fund. This schedule reclassifies 2011 estimate and baseline budget

authority and outlays as mandatory, for comparability purposes, and to calculate the spending

increase above the baseline subject to PAYGO.




Discretionary:

11.00 Appropriation 0 (563,000) 0

11.60 Appropriation (total) 0 (563,000) 0

Mandatory:

12.00 Appropriation 0 563,000 0

12.60 Appropriation (total) 0 563,000 0

19.00 Budget authority (total) 0 0 0

19.30 Total budgetary resources available 0 0 0



30.40 Total outlays (gross) 0 0 (571,000)

31.00 Obligated balance, end of year 0 0 (571,000)


40.10 Outlays from new discretionary authority 0 (563,000) 0


40.20 Total outlays (gross) 0 (563,000) 0

41.00 Outlays from new mandatory authority 0 563,000 571,000

41.01 Outlays from mandatory balances 0 0 0

41.10 Total outlays (gross) 0 563,000 571,000


Discretionary

40.70 Budget authority (net) 0 (563,000) 0

40.80 Outlays (net) 0 (563,000) 0

Mandatory

41.60 Budget authority (net) 0 563,000 0

41.70 Outlays (net) 0 563,000 571,000

Total

41.80 Budget authority (net) 0 0 0

41.90 Outlays (net) 0 0 571,000



84



Adjustments for Year-to-Year Comparability




the Transportation Trust Fund. This schedule reclassifies 2010 enacted budget authority and

outlays as mandatory, for comparability purposes.




Discretionary:

11.00 Appropriation (563,000) 0 0

11.60 Appropriation (total) (563,000) 0 0

Mandatory:

12.00 Appropriation 563,000 0 0

12.60 Appropriation (total) 563,000 0 0





30.40 Total outlays (gross) 0 0 0



40.10 Outlays from new discretionary authority (563,000) 0 0


40.20 Total outlays (gross) (563,000) 0 0

41.00 Outlays from new mandatory authority 563,000 0 0


41.10 Total outlays (gross) 563,000 0 0


Discretionary

40.70 Budget authority (net) (563,000) 0 0

40.80 Outlays (net) (563,000) 0 0

Mandatory

41.60 Budget authority (net) 563,000 0 0

41.70 Outlays (net) 563,000 0 0

Total


41.90 Outlays (net) 0 0 0



85



Legislative Proposal, Subject to PAYGO



Appropriations, mandatory:

12.00 Appropriation 0 0 (571,000)

12.60 Appropriation (total) 0 0 (571,000)

19.00 Budget authority (total) 0 0 (571,000)



30.40 Total outlays (gross) 0 0 571,000

31.00 Obligated balance, end of year 0 0 571,000


41.00 Outlays from new mandatory authority 0 0 (571,000)



41.60 Budget authority (net) 0 0 (571,000)

41.70 Outlays (net) 0 0 (571,000)



86



CAPITAL AND DEBT SERVICE GRANTS TO THE

NATIONAL RAILROAD PASSENGER CORPORATION


[CAPITAL AND DEBT SERVICE GRANTS TO THE NATIONAL RAILROAD

PASSENGER CORPORATION]

[To enable the Secretary of Transportation to make grants to the

National Railroad Passenger Corporation for capital investments as

authorized by section 101(c) and 219(b) of the Passenger Rail Investment

and Improvement Act of 2008 (division B of Public Law 110-432),

$1,052,000,000, to remain available until expended, of which not to

exceed $288,000,000 shall be for debt service obligations as authorized by

section 102 of such Act: Provided, That after an initial distribution of up

to $200,000,000 which shall be used by the Corporation as a working

capital account, all remaining funds shall be provided to the Corporation

only on a reimbursable basis: Provided further, That the Secretary may

retain up to one-half of 1 percent of the funds provided under this heading

to fund the costs of project management oversight of capital projects

funded by grants provided under this heading, as authorized by subsection

101(d) of division B of Public Law 110-432: Provided further, That the

Secretary shall approve funding for capital expenditures, including

advance purchase orders of materials, for the Corporation only after

receiving and reviewing a grant request for each specific capital project

justifying the Federal support to the Secretary's satisfaction: Provided

further, That none of the funds under this heading may be used to

subsidize operating losses of the Corporation: Provided further, That none

of the funds under this heading may be used for capital projects not

approved by the Secretary of Transportation or on the Corporation's fiscal

year 2010 business plan: Provided further, That in addition to the project

management oversight funds authorized under section 101(d) of division

B of Public Law 110-432, the Secretary may retain up to an additional

one-half of one percent of the funds provided under this heading to fund

expenses associated with implementing section 212 of division B of Public

Law 110-432, including the amendments made by section 212 to section

24905 of title 49, United States Code, and other mandates of Division B of

Public Law 110-432.]


Under the Administration’s surface transportation authorization proposal, operating, capital, and

debt service activities of the National Railroad Passenger Corporation (Amtrak) will be eligible

for competitive grants under the System Preservation and Renewal component of the new

87

National Rail System program, funded within the Rail Account of the Transportation Trust Fund.

No funds are requested in this account for 2012.

88

FEDERAL RAILROAD ADMINISTRATION CAPITAL AND DEBT SERVICE GRANTS TO THE






00.01 General Capital Improvements 727,609 703,480 0

00.02 Debt Service Grants 264,000 288,000 0

00.03 Contract Oversight 631 12,529 0

00.05 Northeast Corridor Improvement (PRIIA Sec 212) 365 10,155 0

00.91 Total direct program 992,605 1,014,164 0


09.00 Total obligations 992,605 1,014,164 0



New budget authority (gross) 1,001,625 1,001,625 0

19.30 Total budgetary resources available for obligation 1,005,144 1,014,164 0

New obligations (992,605) (1,014,164) 0




Discretionary:

11.00 Appropriation 1,001,625 1,001,625 0

11.30 Appropriation permanently reduced 0 0 0

11.21 Transfers from other accounts 0 0 0

Appropriation (total) 1,001,625 1,001,625 0


17.00 Offsetting collections (cash) (unexpired only) 0 0 0


17.50 Spending authority fm offsetting collections (total 0 0 0

19.00 Total new budget authority (gross) 1,001,625 1,001,625 0


30.20 Obligated balance , start of year 105 75,097 0

30.30 New obligations 992,605 1,014,164 0

30.40 Total outlays (gross) (917,613) (1,089,261) 0

Unobligated balance transferred from other acct 0 0 0

Adjustments in expired accounts (net) 0 0 0

30.50 Chg in Uncollected cust orders fm Fed Sources (unexpired) 0 0 0


31.00 Obligated balance, end of year 75,097 0 0


40.10 Outlays from new discretionary authority 917,508 1,001,625 0

40.11 Outlays from discretionary balances 105 87,636 0

40.20 Total outlays (gross) 917,613 1,089,261 0

Offsets:



40.30 Federal sources 0 0 0

40.33 Non-federal sources


40.52 Portion of offsetting collection credited to expired accounts 0 0 0


40.70 Budget authority (net) 1,001,625 1,001,625 0

40.80 Outlays (net) 917,613


89


Under the Administration’s surface transportation authorization proposal, capital and debt

service activities of the National Railroad Passenger Corporation (Amtrak) will be eligible for

competitive grants under the System Preservation and Renewal component of the new National

Rail System program, funded within the Rail Account of the Transportation Trust Fund.


2010 2011 CR 2012


Direct Obligations:

21.0 Travel and transportatio of persons……………………………… x 1 - -

25.2 Other services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x 995 23 -

41.0 Grants, subsidies, and contributions 991,609 991 -


90













Discretionary:

11.00 Appropriation 0 (1,001,625) 0

11.60 Appropriation (total) 0 (1,001,625) 0

Mandatory:

12.00 Appropriation 0 1,001,625 0

12.60 Appropriation (total) 0 1,001,625 0





30.40 Total outlays (gross) 0 0 (1,016,000)

31.00 Obligated balance, end of year 0 0 (1,016,000)


40.10 Outlays from new discretionary authority 0 (1,001,625) 0

40.11 Outlays from discretionary balances 0 (87,636) 0

40.20 Total outlays (gross) 0 (1,089,261) 0

41.00 Outlays from new mandatory authority 0 1,001,625 1,016,000

41.01 Outlays from mandatory balances 0 87,636 0

41.10 Total outlays (gross) 0 1,089,261 1,016,000


Discretionary

40.70 Budget authority (net) 0 (1,001,625) 0

40.80 Outlays (net) 0 (1,089,261) 0

Mandatory

41.60 Budget authority (net) 0 1,001,625 0

41.70 Outlays (net) 0 1,089,261 1,016,000

Total


41.90 Outlays (net) 0 0 1,016,000



91












Discretionary:

11.00 Appropriation (1,001,625) 0 0

11.60 Appropriation (total) (1,001,625) 0 0

Mandatory:

12.00 Appropriation 1,001,625 0 0

12.60 Appropriation (total) 1,001,625 0 0








40.10 Outlays from new discretionary authority (917,508) 0 0

40.11 Outlays from discretionary balances (105) 0 0


41.00 Outlays from new mandatory authority 917,508 0 0




Discretionary

40.70 Budget authority (net) (1,001,625) 0 0

40.80 Outlays (net) (917,613) 0 0

Mandatory

41.60 Budget authority (net) 1,001,625 0 0

41.70 Outlays (net) 917,613 0 0

Total





92







12.00 Appropriation 0 0 (1,016,000)

12.60 Appropriation (total) 0 0 (1,016,000)

19.00 Budget authority (total) 0 0 (1,016,000)



30.40 Total outlays (gross) 0 0 1,016,000

31.00 Obligated balance, end of year 0 0 1,016,000


41.00 Outlays from new mandatory authority 0 0 (1,016,000)

41.10 Total outlays (gross) 0 0 (1,016,000)


41.60 Budget authority (net) 0 0 (1,016,000)

41.70 Outlays (net) 0 0 (1,016,000)



93



HIGH-SPEED RAIL CORRIDORS AND INTERCITY

PASSENGER RAIL SERVICE, RECOVERY ACT


CAPITAL ASSISTANCE FOR HIGH SPEED RAIL CORRIDORS AND INTERCITY

PASSENGER RAIL SERVICE[, RECOVERY ACT]

[To enable the Secretary of Transportation to make grants for high-

speed rail projects as authorized under section 26106 of title 49, United

States Code, capital investment grants to support intercity passenger rail

service as authorized under section 24406 of title 49, United States Code,

and congestion grants as authorized under section 24105 of title 49, United

States Code, and to enter into cooperative agreements for these purposes

as authorized, $2,500,000,000, to remain available until expended:

Provided, That $50,000,000 of funds provided under this paragraph are

available to the Administrator of the Federal Railroad Administration to

fund the award and oversight by the Administrator of grants and

cooperative agreements for intercity and high-speed rail: Provided further,

That up to $30,000,000 of the funds provided under this paragraph are

available to the Administrator for the purposes of conducting research and

demonstrating technologies supporting the development of high-speed rail

in the United States, including the demonstration of next-generation

rolling stock fleet technology and the implementation of the Rail

Cooperative Research Program authorized by section 24910 of title 49,

United States Code: Provided further, That up to $50,000,000 of the funds

provided under this paragraph may be used for planning activities that lead

directly to the development of a passenger rail corridor investment plan

consistent with the requirements established by the Administrator or a

state rail plan consistent with chapter 227 of title 49, United States Code:

Provided further, That the Secretary may retain a portion of the funds

made available for planning activities under the previous proviso to

facilitate the preparation of a service development plan and related

environmental impact statement for high-speed corridors located in

multiple States: Provided further, That the Secretary shall issue interim

guidance to applicants covering application procedures and administer the

grants provided under this heading pursuant to that guidance until final

regulations are issued: Provided further, That not less than 85 percent of

the funds provided under this heading shall be for cooperative agreements

that lead to the development of entire segments or phases of intercity or

high-speed rail corridors: Provided further, That the Secretary shall submit

to Congress the national rail plan required by section 103(j) of title 49,

94

United States Code, no later than September 15, 2010:] [Provided further,

That at least 30 days prior to issuing a letter of intent or cooperative

agreement pursuant to Section 24402(f) of title 49, United States Code, for

a major corridor development program, the Secretary shall provide to the

House and Senate Committees on Appropriations written notification

consisting of a business and public investment case for the proposed

corridor program which shall include: a comprehensive analysis of the

monetary and non-monetary costs and benefits of the corridor

development program; an assessment of ridership, passenger travel time

reductions, congestion relief benefits, environmental benefits, economic

benefits, and other public benefits; operating financial forecasts for the

program; a full capital cost estimation for the entire project, including the

amount, source and security of non-Federal funds to complete the project;

a summary of the grants management plan and an evaluation of the

grantee’s ability to sustain the project: Provided further, That the Federal

share payable of the costs for which a grant or cooperative agreements is

made under this heading shall not exceed 80 percent: Provided further,

That in addition to the provisions of title 49, United States Code, that

apply to each of the individual programs funded under this heading,

subsections 24402(a)(2), 24402(f), 24402(i), and 24403(a) and (c) of

title 49, United States Code, shall also apply to the provision of funds

provided under this heading: Provided further, That a project need not be

in a State rail plan developed under Chapter 227 of title 49, United States

Code, to be eligible for assistance under this heading: Provided further,

That recipients of grants under this paragraph shall conduct all

procurement transactions using such grant funds in a manner that provides

full and open competition, as determined by the Secretary, in compliance

with existing labor agreements.]


No funds are requested in this account for 2012, as the Administration is proposing to include

passenger rail (including high-speed rail) within its surface transportation authorization proposal.

As part of that authorization, a new National Rail System program would be created, funded out

a dedicated Rail Account of the Transportation Trust Fund. Activities currently carried out in

this account would be continued in 2012 within a new Network Development account.

95

Exhibit III-1

CAPITAL ASSISTANCE FOR HIGH-SPEED RAIL CORRIDORS AND

INTERCITY PASSENGER RAIL SERVICE Summary by Program Activity

Appropriations, Obligation Limitations, and Exempt Obligations ($000)


Through this program, FRA provides capital grants to States to invest and improve intercity

passenger rail services, including the development of new high-speed rail capacity. Activity in

this account includes the $8 billion provided by the American Recovery and Reinvestment Act

and an additional $2.5 billion provided in the 2010 enacted appropriations.

No funds are requested in this account for 2012, as the Administration is proposing to include

passenger rail (including high-speed rail) within its surface transportation authorization proposal.

As part of that authorization, a new National Rail System program would be created, funded out

of a dedicated Rail Account of the Transportation Trust Fund. Activities currently carried out in

this account would be continued in 2012 within a new Network Development account.

FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST

CHANGE

FY 2010- FY 2012

Capital Assistance for HSR Corridors (ARRA) - - - 0

Capital Assistance for HSR Corridors 2,500,000 2,500,000 - (2,500,000)

TOTAL 2,500,000 2,500,000 - (2,500,000)

FTE



Total FTE 0.0 0.0 0.0 0.0

Notes:



Passenger Corporation, and the Capital and Debt Services Grants to the National Railroad Passenger Corporation accounts are proposed

to be consolidated under the new National Rail System. These resources w ill be distributed betw een tw o new accounts: (1) Netw ork

Development and (2) System Preservation. Funds w ill be available for competitive and non-competitive f inancial assistance.





96

Exhibit III-1a

CAPITAL ASSISTANCE FOR HIGH-SPEED RAIL CORRIDORS AND

INTERCITY PASSENGER RAIL SERVICE Summary Analysis of Change from FY 2010 Actual to FY 2012

Appropriations, Obligation Limitations, and Exempt Obligations ($000)

Item FTE ($000)

FY 2010 Actual - 2,500,000

Adjustments to Base:


Annualization of FY 2010 Comparability Pay Increase - -

FY 2011 Comparability Pay Increase - -

Non-Pay Inflation - -

GSA Rent - -

WCF - -

Subtotal, Adjustments to Base - 0

Program Changes


Passenger Rail Service - (2,500,000)

Subtotal, New/Expanded Programs - (2,500,000)

TOTAL FY 2012 Request - 0

Notes:


resources previously provided under Capital Assistance for High-Speed Rail Corridors and Intercity

Passenger Rail Service, Operating Grants to the National Railroad Passenger Corporation, and the Capital and

Debt Services Grants to the National Railroad Passenger Corporation accounts are proposed to be

consolidated under the new National Rail System. These resources w ill be distributed betw een tw o new

accounts: (1) Netw ork Development and (2) System Preservation. Funds w ill be available for competitive

and non-competitive f inancial assistance.

The Capital Assistance for High-Speed Rail Corridors and Intercity Passenger Rail Service, Operating Grants

to the National Railroad Passenger Corporation, and the Capital and Debt Services Grants to the National

Railroad Passenger Corporation accounts w ere previously f inanced w ith discretionary, General Fund budget

authority. In FY 2012, these activities w ill be f inanced w ith mandatory contract authority, out of a new

dedicated Rail Account of the Transportatsion Trust Fund (formerly the Highw ay Trust Fund).

Change from

FY 2010 to FY 2012

97

FEDERAL RAILROAD ADMINISTRATION CAPITAL ASSISTANCE FOR HIGH-SPEED RAIL CORRIDORS AND

INTERCITY PASSENGER RAIL SERVICE





00.03 Capital Assistance - High Speed Rail Corridors & IPR

Service Grants 0 4,740,000 0


Service Oversight 8,487 91,513 0


Service Research & Demonstrating Technologies 6,242 53,758 0


Service Planning Activities 0 100,000 0





10.00 Unobligated balance available, start of year 0 2,485,271 0


Discretionary:

11.00 Appropriation 2,500,000 2,500,000 0



Appropriation (total) 2,500,000 2,500,000 0





19.00 Total new budget authority (gross) 2,500,000 2,500,000 0


New obligations (14,729) (4,985,271) 0


19.41 Unobligated balance available, end of year 2,485,271 0 0


30.20 Obligated balance , start of year 0 13,374 4,976,145

30.30 New obligations 14,729 4,985,271 0

30.40 Total outlays (gross) (1,355) (22,500) (112,750)





31.00 Obligated balance, end of year 13,374 4,976,145 4,863,395


40.10 Outlays from new discretionary authority 1,355 2,000 0

40.11 Outlays from discretionary balances 0 20,500 112,750


Offsets:





40.50

Portion of offsetting collection credited to unexpired accounts 0 0 0



40.70 Budget authority (net) 2,500,000 2,500,000 0

40.80 Outlays (net) 1,355 22,500 112,750


98


INTERCITY PASSENGER RAIL SERVICE



2010 2011 CR 2012


Direct Obligations:

25.2 Other services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9,729 245,271 -

41.0 Grants, subsidies, and contributions 5,000 4,740,000 -

99.9 Total new obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14,729 4,985,271 -




Discretionary:

11.00 Appropriation 0 (2,500,000) 0

11.60 Appropriation (total) 0 (2,500,000) 0

Mandatory:

12.00 Appropriation 0 2,500,000 0

12.60 Appropriation (total) 0 2,500,000 0






31.00 Obligated balance, end of year 0 0 (2,000)


40.10 Outlays from new discretionary authority 0 (2,000) 0

40.11 Outlays from discretionary balances 0 (20,500) (112,750)

40.20 Total outlays (gross) 0 (22,500) (112,750)

41.00 Outlays from new mandatory authority 0 2,000 2,000

41.01 Outlays from mandatory balances 0 20,500 112,750



Discretionary

40.70 Budget authority (net) 0 (2,500,000) 0

40.80 Outlays (net) 0 (22,500) (112,750)

Mandatory

41.60 Budget authority (net) 0 2,500,000 0

41.70 Outlays (net) 0 22,500 114,750

Total


41.90 Outlays (net) 0 0 2,000



99











Discretionary:

11.00 Appropriation (2,500,000) 0 0

11.60 Appropriation (total) (2,500,000) 0 0

Mandatory:

12.00 Appropriation 2,500,000 0 0

12.60 Appropriation (total) 2,500,000 0 0








40.10 Outlays from new discretionary authority 0 0 0



41.00 Outlays from new mandatory authority 0 0 0




Discretionary

40.70 Budget authority (net) (2,500,000) 0 0


Mandatory

41.60 Budget authority (net) 2,500,000 0 0


Total





100










12.00 Appropriation 0 0 (2,535,000)

12.60 Appropriation (total) 0 0 (2,535,000)

19.00 Budget authority (total) 0 0 (2,535,000)



30.40 Total outlays (gross) 0 0 2,000

31.00 Obligated balance, end of year 0 0 2,000


41.00 Outlays from new mandatory authority 0 0 (2,000)



41.60 Budget authority (net) 0 0 (2,535,000)

41.70 Outlays (net) 0 0 (2,000)



101


INTERCITY PASSENGER RAIL SERVICE - ARRA





00.01 Capital Assistance - High Speed Rail (ARRA) Grants 869,770 7,110,230 0

00.02 Capital Assistance - High Speed Rail (ARRA) Oversight 10,793 4,278 0





10.00 Unobligated balance available, start of year 7,995,071 7,114,508 0


New obligations (880,563) (7,114,508) 0


19.41 Unobligated balance available, end of year 7,114,508 0 0


30.20 Obligated balance , start of year 3,068 868,811 7,061,081

30.30 New obligations 880,563 7,114,508 0

30.40 Total outlays (gross) (14,820) (922,238) (1,002,038)





31.00 Obligated balance, end of year 868,811 7,061,081 6,059,043



40.11 Outlays from discretionary balances 14,820 922,238 1,002,038

40.20 Total outlays (gross) 14,820 922,238 1,002,038

Offsets:





40.50

Portion of offsetting collection credited to unexpired accounts 0 0 0




40.80 Outlays (net) 14,820 922,238 1,002,038



102


INTERCITY PASSENGER RAIL SERVICE - ARRA


2010 2011 CR 2012


Direct Obligations:

21.0 Travel and transportatio of persons 22 - -

23.2 Other services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 - -

23.3 Other services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 - -

25.1 Other services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 - -

25.3 Other services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12,693 4,278 -

26.0 Other services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 - -

31.0 Equipment 1 - -

41.0 Grants, subsidies, and contributions 869,770 7,110,230 -

99.9 Total new obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 882,600 7,114,508 -

103



NATIONAL HIGH PERFORMANCE RAIL SYSTEM


Network Development

(Limitation on Obligations)

(Transportation Trust Fund)

Contingent upon enactment of multi-year surface transportation

authorization legislation, funds available for the implementation or

execution of Network Development programs authorized under title 49,

United States Code, as amended by such authorization, shall not exceed

total obligations of $4,000,000,000 for Railroad Network Development

Programs, including $3,137,000,000 for High-Speed Corridor

Development; $240,000,000 for Station Development and Rail Relocation;

$245,000,000 for U.S. Rail Equipment Development; and $378,000,000

for Capacity Building and Transition Assistance, to remain available until

expended.

(Liquidation of Contract Authorization)



authorization legislation, $1,000,000,000, to be derived from the Rail

Account of the Transportation Trust Fund and to remain available until

expended, for payment of obligations incurred in carrying out Network

Development programs authorized under title 49, United States Code, as

amended by such authorization.

System Preservation

(Limitation on Obligations)



authorization legislation, funds available for the implementation or

execution of programs for railroad system preservation and renewal

authorized under title 49, United States Code, as amended by such

authorization, shall not exceed $4,046,000,000 for railroad system

preservation and renewal programs, including $2,982,000,000 for Public

104

Asset Backlog Retirement, of which $1,200,000,000 shall remain available

until September 30, 2013; $914,000,000 is for National Network Service;

and $150,000,000 is for State of Good Repair and Recapitalization, which

shall be available until expended.

(Liquidation of Contract Authorization)



authorization legislation, $2,600,000,000, to be derived from the Rail

Account of the Transportation Trust Fund and to remain available until

expended, for payment of obligations incurred in carrying out railroad

system preservation and renewal programs authorized under title 49,

United States Code, as amended by such authorization.

105

Exhibit III-1


Summary by Program Activity Appropriations, Obligation Limitations, and Exempt Obligations

($000)

FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST

CHANGE

FY 2010-2012

NETWORK DEVELOPMENT (CA) (TF, Oblim) 1/

High Speed Corridor Development 2,418,000 2,418,000 3,137,000 719,000

Station Development 0 0 240,000 240,000

U.S. Rail Equipment Development 2,000 2,000 245,000 243,000

Capacity Building and Transition Assistance 80,000 80,000 378,000 298,000

Subtotal, Network Development 2,500,000 2,500,000 4,000,000 1,500,000

SYSTEM PRESERVATION (CA) (TF, Oblim) 1/

Amtrak Operating & Capital 1,279,625 1,279,625 0 (1,279,625)

Public Asset Capital Backlog Retirement 285,000 285,000 2,982,000 2,697,000

National Network Service 0 0 914,000 914,000

State-of-Good Repair & Recapitalization 0 0 150,000 150,000

Subtotal, System Preservation 1,564,625 1,564,625 4,046,000 2,481,375

TOTAL, NATIONAL RAIL SYSTEM 4,064,625 4,064,625 8,046,000 3,981,375

Positions




FTE



Total FTE 0.0 0.0 0.0 0.0

Notes:





(1) Netw ork Development and (2) System Preservation. Funds w ill be available for competitive and non-competitive f inancial assistance.





106


For the first time, the Administration proposes to include passenger rail programs within surface

transportation authorization, with a new National Rail System program, funded out of a

dedicated Rail Account of the Transportation Trust Fund.

Network Development: Funding requested in the Network Development account will be used

to transform high-speed and intercity passenger rail service using federal leadership, coordinated

with State, local, and private sector partners. The FY 2012 budget request includes $4.0 billion

for this account, and over six years, the Administration proposes to invest $37.6 billion. The

program’s goal will be to develop robust passenger rail service in areas it makes economic sense,

to enhance mobility options for America’s congested cities, foster environmentally-favorable

mass transportation, and to decrease energy consumption. This will be accomplished through

four program areas:

High-Speed Corridor Development: to plan and develop a national system of corridors

with the goal of connecting at least 80 percent of Americans to efficient and viable

passenger rail transportation within 25 years. This will include the development of Core

Express, Regional, and Emerging/Feeder corridors.

Station Development: to plan and develop intermodal stations that will connect passenger

rail services to other transportation modes, including public transit, airports, and non-

motorized facilities.

U.S. Rail Equipment Development: to promote interoperability of passenger rail

equipment and create economies of scale for domestic passenger equipment

manufacturing.

Capacity-building and Transition Assistance: to develop governmental and private

institutional capacity and expertise in passenger rail transportation and relieve the

financial burden on states and rail service operators during start-up of new operations.

This program also funds activities to support the implementation of positive train control

(PTC).

Up-Front Investments: To spur job growth and allow States to initiate sound multi-year

investments, the Budget includes a $50 billion boost above current law spending for

roads, railways, and runways. Within this account total, $3 billion is provided for

additional high-speed rail network planning and construction.

System Preservation and Renewal: Funding requested in the System Preservation account will

ensure safe and reliable passenger rail assets are maintained. The FY 2012 budget request

included $4.0 billion for this account, and over six years, the Administration proposes to invest

$15.0 billion. Three program areas provide the framework necessary to preserve and renew

existing infrastructure:

107

Public Asset Backlog Retirement: eliminate the backlog of needed railroad and railroad

asset repairs and upgrades, including those necessary for Americans with Disabilities Act

(ADA) compliance; replace obsolete infrastructure, facilities, and equipment; and fund

costs associated with early buyouts of existing capital equipment loans and leases.

National Network Service: fund operating and capital costs associated with the National

Railroad Passenger Corporation’s (Amtrak) long-distance rail passenger services; capital

projects to maintain national reservations, security, mechanical facilities, training centers,

and other assets; and high priority congestion mitigation investments to reduce

bottlenecks to reliable long-distance or state-supported corridor service.

State of Good Repair and Recapitalization: fund a share of the annualized life-cycle

costs of publicly owned infrastructure and equipment. Amtrak is the primary passenger

rail service provider in the U.S. Funding in this account will ensure those services are

uninterrupted and benefit the condition of the existing network.

Up-Front Investments: To spur job growth and allow States to initiate sound multi-year

investments, the budget includes a $50 billion boost above current law spending for

roads, railways, and runways. Within this account total, $2.5 billion is provided to

reduce the maintenance backlog for Amtrak fleet and infrastructure, particularly station

compliance with the Americans with Disability Act.

The Administration proposes to move a number of current General Fund programs into the

Transportation Trust Fund, as part of surface transportation authorization. Amounts reflected in

this schedule represent the new mandatory contract authority and outlays supporting these

programs.

108

Exhibit III-1a



($000)

Item FTE ($000)

FY 2010 Actual


Passenger Rail Service 1/ - 2,500,000

Operating Grants to the National Railroad Passenger Corporation 1/ - 563,000

Capital / Debt Service Grants to the National Railroad Passenger

Corporation 1/ - 1,001,625

Total FY 2011 CR Annualized 0.0 4,064,625

Baseline Changes:





GSA Rent - -

WCF - -


Program Changes:

Network Development - 1,500,000

System Preservation - 2,481,375

Subtotal, Program Changes 0.0 3,981,375

TOTAL FY 2012 REQUEST 0.0 8,046,000

Notes:


resources previously provided under Capital Assistance for High-Speed Rail Corridors and Intercity Passenger

Rail Service, Operating Grants to the National Railroad Passenger Corporation, and the Capital and Debt

Services Grants to the National Railroad Passenger Corporation accounts are proposed to be consolidated

under the new National Rail System. These resources w ill be distributed betw een tw o new accounts:

(1) Netw ork Development and (2) System Preservation. Funds w ill be available for competitive and non-


The Capital Assistance for High-Speed Rail Corridors and Intercity Passenger Rail Service, Operating Grants to

the National Railroad Passenger Corporation, and the Capital and Debt Services Grants to the National Railroad

Passenger Corporation accounts w ere previously f inanced w ith discretionary, General Fund budget authority.

In FY 2012, these activities w ill be f inanced w ith mandatory contract authority, out of a new dedicated Rail

Account of the Transportatsion Trust Fund (formerly the Highw ay Trust Fund).

Change from

FY 2010 to FY 2012

109

The following table compares the financial structure of the FY 2010 grant programs for

passenger rail to FRA’s proposed structure.

CR

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110

Exhibit III-2


Annual Performance Results and Targets

To achieve the Administration’s goal of providing 80 percent of Americans convenient access to

a passenger rail system, featuring high-speed service, within 25 years, FRA is currently

developing annual and interim NHPRS performance targets aligned with DOT strategic goals.

Using funds requested in the FY 2012 budget, FRA expects to complete several critical activities

that will enable achievement of the 25-year goal to develop a 30,000-mile NHPRS, of which

about 25 percent to 30 percent will be core express corridors, 50 percent will be regional

corridors, and 20 percent to 25 percent will be emerging corridors.3 These activities include—

Establishing the framework for regional and state passenger rail development planning.

This framework will guide investment and system phasing decisions and will include

corridor- and regional-level cost-benefit analyses.

Formalizing technical assistance and training initiatives. FRA will work with

stakeholders to define curriculums and identify delivery venues and methods, such as

Webinars, classroom-based training, on-line materials.

Refining the program’s post-award monitoring and oversight protocols and practices.

Advancing essential rulemakings related to program policies, procedures, and

administration.

3 Mileage totals are preliminary estimates pending more detailed national, regional, and state planning efforts.

111

Detailed Justification for the National High Performance Rail System


FY 2012 – National Rail System - Budget Request ($000)

FY 2010

ACTUAL

FY 2012

REQUEST

CHANGE

FY 2010-2012

NETWORK DEVELOPMENT 1/

High Speed Corridor Development 2,418,000 3,137,000 719,000

Station Development 0 240,000 240,000

U.S. Rail Equipment Development 2,000 245,000 243,000

Capacity Building and Transition Assistance 80,000 378,000 298,000

Subtotal, Network Development 2,500,000 4,000,000 1,500,000

SYSTEM PRESERVATION 1/

Amtrak Operating & Capital 1,279,625 0 (1,279,625)

Public Asset Capital Backlog Retirement 285,000 2,982,000 2,697,000

National Network Service 0 914,000 914,000

State-of-Good Repair & Recapitalization 0 150,000 150,000

Subtotal, System Preservation 1,564,625 4,046,000 2,481,375

TOTAL, NATIONAL RAIL SYSTEM 4,064,625 8,046,000 3,981,375

Notes:

1. In FY 2012, FRA has realigned all passenger rail program activities and resources. As a result, all resources

previously provided under Capital Assistance for High-Speed Rail Corridors and Intercity Passenger Rail Service,

Operating Grants to the National Railroad Passenger Corporation, and the Capital and Debt Services Grants to the

National Railroad Passenger Corporation accounts are proposed to be consolidated under the new National Rail

System. These resources w ill be distributed betw een tw o new accounts: (1) Netw ork Development and (2) System

Preservation. Funds w ill be available for competitive and non-competitive f inancial assistance.

The Capital Assistance for High-Speed Rail Corridors and Intercity Passenger Rail Service, Operating Grants to the

National Railroad Passenger Corporation, and the Capital and Debt Services Grants to the National Railroad Passenger

Corporation accounts w ere previously f inanced w ith discretionary, General Fund budget authority. In FY 2012, these

activities w ill be f inanced w ith mandatory contract authority, out of a new dedicated Rail Account of the

Transportatsion Trust Fund (formerly the Highw ay Trust Fund).

112

WHAT IS THIS PROGRAM?

As part of its surface transportation authorization proposal, the Administration proposes to invest

$53 billion in passenger rail activities, including the development of new, dedicated high-speed

rail service. These activities will be financed with mandatory contract authority, out of a new

dedicated Rail Account of the Transportation Trust Fund (formerly the Highway Trust Fund).

FY 2012 represents the first year of a comprehensive initiative to transform America’s passenger

rail services into a national system of integrated passenger rail corridors that will give 80 percent

of Americans convenient access to a passenger rail system, featuring high-speed service, within

25 years—the National High Performance Rail System (NHPRS). The system will (1)

provide additional transportation capacity using cleaner energy sources to accommodate future

population growth; (2) promote livable communities and efficient land-use; and (3) create a

foundation for long-term economic growth. FRA’s FY 2012 request also includes $5.5 billion,

part of the Administration’s $50 billion up-front investment package.

The request also consolidates and integrates previously disconnected passenger rail programs,

thereby creating a cohesive and comprehensive approach to developing new passenger rail

corridors, while preserving and enhancing the Nation’s existing infrastructure. This sustainable,

long-term framework, with a more predictable Federal role and commitment, will provide greater

clarity and certainty to the public and private industry, States, and other stakeholders. The

request streamlines existing programs and accounts into two new program accounts: Network

Development, and System Preservation.

Network Development consists of $4 billion in financial assistance for planning and developing

infrastructure, equipment, and capacity necessary to continue implementation of the NHPRS.

These initiatives focus on (1) planning and developing core express, regional, and emerging

corridors; (2) developing intermodal stations to connect intercity passenger rail service to

communities and other transportation options; (3) facilitating the design, procurement,

manufacturing, and demand management of standardized passenger rail equipment; and

(4) delivering training and technical assistance services to develop government and private

expertise, promoting research and development in the rail industry, and providing temporary

transitional operating support during the launch of new services and for existing State-supported

corridors. The following table summarizes the program areas, funding, and eligibility under this

account.

113

NATIONAL HIGH PERFORMANCE RAIL SYSTEM ACCOUNTS NETWORK DEVELOPMENT ($4,000M)

FY 2012 Program Description, Funding, and Eligibility

Program Area and FY 2012

Request Objective Eligible Activities Eligible Recipients

High-Speed Corridor Development

$3,137M

Build a national system of passenger rail corridors: Core Express– 125 to

250+ mph on dedicated track

Regional – 90-125 mph service on dedicated or shared track

Emerging – Up to 90 mph service on shared track

Feasibility studies Planning studies Environmental studies Right-of-way acquisition Preliminary engineering Design and construction

States Interstate compacts Amtrak Regional rail development

authorities Private entities identified in

State and regional plans

Station Development

$240M

Link passenger rail services to public transit, other transportation options, residential and commercial areas, and communities

Capital improvements for stations

Station area planning

States Amtrak Regional rail development

authorities Municipalities and municipal

planning organizations Transit operators Private entities identified in

State and regional plans

U.S. Rail Equipment Development

$245M

Promote interoperability and cost efficiencies of passenger rail equipment

Development of passenger rail equipment designs and specifications

Acquisition Life-cycle maintenance and

overhaul


authorities Equipment entity, e.g.,

PRIIA §305

Capacity-Building & Transition Assistance

$378M

Develop U.S. rail institutional capacity and expertise

Technical assistance and training

Railroad Safety Technology Grants

Research and development to speed rail innovation

Transitional funding for States to help defray operating losses from new services and existing services affected by PRIIA §209


authorities Railroads Passenger rail operators Universities Transportation Research

Board

System Preservation and Renewal consists of $4.046 billion to (1) replace aging national rail

assets and equipment that have deteriorated due to historical underinvestment; (2) provide

operating, capital, and debt resources to the National Railroad Passenger Corporation (Amtrak)

for long-distance intercity passenger rail service and other nationally-important assets; and

(3) fund state of good repair and asset recapitalization of publicly-owned rail infrastructure and

fleet. Specifically, this program continues to provide resources for Amtrak debt service outlined

in Amtrak’s Five Year Financial Plan, the Northeast Corridor infrastructure backlog, and station

ADA-compliance and state of good repair projects. This account will also provide competitive

grants to reduce bottlenecks affecting existing corridors and long distance services modeled after

Section 302 of PRIIA. While the new appropriations accounts replace the Amtrak appropriation

114

accounts, the new financial structure ensures that the national assets for which Amtrak is

custodian are improved and maintained. Moreover, the System Preservation and Renewal

resources that reduce Amtrak’s large capital and debt loads will position Amtrak to play a central

role in development of the NHPRS, including competing for future Network Development

financial assistance. The following table illustrates the major activities under this account.

NATIONAL HIGH PERFORMANCE RAIL SYSTEM ACCOUNTS SYSTEM PRESERVATION AND RENEWAL ($4,046M)

FY 2012 Program Description, Funding, and Eligibility

Program Area and FY 2012

Request Objective Eligible Activities Eligible Recipients

Public Asset Backlog Retirement

$2,982M

Achieve ADA compliance and eliminate state of good repair projects of public infrastructure

Infrastructure, equipment, and facilities

Legacy debt service and principle

Amtrak States * Municipalities * Regional rail development

authorities *

National Network Service

$914M

Operating and capital assistance to maintain national long-distance passenger rail services and facilities

National reservations system, security, mechanical facilities, training centers, and other national backbone systems

Long-distance equipment Congestion mitigation

Amtrak

State of Good Repair & Recapitalization

$150M

Ensure public assets are maintained and renewed to ensure state of good repair and reserves for replacement

Share of annualized life cycle costs

Amtrak States * Municipalities * Regional rail development

authorities *

* After FY 2012

FY 2010 Base:

In FY 2010, FRA continued to mature the high-speed and intercity passenger rail program

beyond its successful launch of the $8 billion High-Speed Intercity Passenger Rail program

funded under ARRA. FRA received applications seeking over $50 billion to implement new and

improve existing services, far exceeding the available funding. President Obama and Vice

President Biden later announced the selection of 82 applications from 31 States and the District

of Columbia to receive the first round of funding. For the FY 2010 appropriation of $2.5 billion,

FRA received 132 applications seeking $8.8 billion. Moreover, FRA far exceeded its FY 2010

target for obligating ARRA funds and published the National Rail Plan Progress Report in

September 2010. At the same time, FRA hired 12 new employees, with 10 other active

recruitments open and in various stages in the hiring process.


Secretary LaHood announced the selection of 54 applications from 23 States on October 28,

2010. During FY 2011, FRA will continue obligating funds for significant projects and

115

negotiating critical agreements with host railroads. In addition, FRA will publish grant guidance,

process applications, and announce selections –contingent upon availability of appropriations.

To protect the taxpayers’ investments, FRA will establish and implement a rigorous post-award

monitoring and oversight program.


NHPRS is a transformational initiative that provides an innovative approach to address the

Nation’s passenger and freight mobility challenges and demands, including:

Population growth: By 2035, the U.S. Census Bureau projects that an additional

70 million people will reside in the United States. The vast majority of this growth will

be concentrated in a relatively small number of ―mega-regions.‖ This growth in

population – and the ensuing economic output created – will rely on new and enhanced

mobility options.

Energy consumption: The U.S. uses 13.8 million barrels of oil daily for transportation;

overall, U.S. citizens consume twice the oil per capita as European Union citizens, and

nearly two-thirds of oil is imported. This reliance on oil to move America’s people and

goods has substantial implications for our environment, economy, and national security.

Environmental protection: As of 2008, the U.S. emitted 14 percent more greenhouse

gases than it did in 1990. Twenty-eight percent of all greenhouse gas emissions are from

transportation, 82 percent of which are from cars and trucks. With growing concern

about climate change and other air pollutants, reducing emissions from the transportation

sector is a national imperative.

Congestion: Aviation congestion has risen in recent years, with an estimated economic

impact of $10 billion annually, according to the Air Transport Association.

High-speed passenger rail is uniquely well suited for addressing these challenges. Rail can help

alleviate mobility needs of the projected growth using cleaner energy sources while also

promoting livable communities and efficient land-use development. Moreover, rail can create a

new economic base for highly skilled, good-paying jobs. These benefits have been proven in

other countries, but they have also been proven in the United States. The Northeast Corridor, for

instance, carries 65 percent of the air-rail market between Washington, D.C., and New York, and

is a vital transportation mode to the region’s $2.4 trillion economy.

To be realize these – and other – benefits on corridors throughout the country, the NHPRS

includes the development of a three-tiered passenger rail network that allows for proper phasing

of investment over the next 25 years – as communities grow and markets mature. Each tier has

unique geographic, financial, and technological issues associated with the planning and

development of specific corridors.

• Core express corridors that offer electric-powered service operating primarily

on dedicated track at peak speeds of 125 to 250 miles per hour or greater, and

116

that primarily connect major metropolitan centers in the United States that are

generally up to 500 miles apart within a three-hour travel time;

• Regional corridors that offer service operating on a mix of dedicated and

shared use track at peak speeds of 90 to 125 miles per hour, and that primarily

connect mid-size urban areas to larger and smaller communities that are

generally up to 500 miles apart; and

• Emerging corridors that are State- or regionally-designated, that offer service

operating on shared-use track at peak speeds of up to 90 miles per hour, and

that connect large, mid-sized, and small urban areas generally less than 750

miles apart.

National High Performance Rail System: Mileage, Speed, Power, Track, and Population Served by 2035

Corridor

Percentage of 30,000-mile Network *

Speed (miles per hour) Power Track

Percentage of Population

Served **

Core Express 25% to 30% 125 to 250+ Electrified Dedicated 60%

Regional 50% 90 to 125 Electrified and

Diesel Dedicated and

Shared 75%

Emerging 20% to 25% Up to 90 Diesel Shared 80%

TOTAL -- -- -- -- 80%

* Preliminary estimates pending the outcome of more detailed national, regional, and state planning efforts. ** These estimates were developed by aggregating the population estimates for all Census-designated metropolitan areas that

include a potential station on the network.

A critical first step in executing this ambitious plan is to ensure that America’s existing

passenger rail system works well. In addition to developing new, high-speed corridors, the

NHPRS establishes a framework for maintaining and enhancing the existing network. This

proposal ensures that public assets are maintained and renewed by assuming a share of the

annual life cycle costs of rail infrastructure and equipment, while also responsibly funding

infrastructure backlogs and Amtrak’s legacy debt.

The Recovery Act and FY 2010 appropriations provided the ―down payment‖ on high-speed rail

development. The FY 2012 proposal continues the transformation of the program into a

comprehensive national vision that includes:

More emphasis on long-term planning to ensure near-term investment decisions are

consistent with national and regional objectives.

Distinct funding opportunities for high-speed rail infrastructure, stations, and equipment

with eligibility structures, selection criteria, and funding matches that support a

coordinated approach to developing this complex system.

Making private entities eligible recipients for some financial assistance opportunities,

thereby encouraging more direct and substantial private sector participation in developing

and operating passenger rail corridors.

117

Selection criteria focused on (1) inclusion of projects in national and regional planning

documents and (2) the project business cases.

Providing funding to Amtrak by business line (long-distance routes, State corridors, and

the Northeast Corridor) to increase the program’s transparency and accountability.



Proposed Contract Authority, FY 2012 through FY 2017 ($ in millions)

FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 TOTAL


Network Development 4,000 4,967 6,002 7,242 7,532 7,867 $37,610

System Preservation and Renewal 4,046 2,479 2,504 1,864 2,024 2,063 $14,980

National Railroad Passenger Corporation (Amtrak)

Operating Grants -- -- -- -- -- -- --

Capital and Debt Service Grants -- -- -- -- -- -- --

Capital Assistance for High-Speed Rail Corridors and Intercity Passenger Rail Service -- -- -- -- -- -- --

TOTAL – NATIONAL HIGH PERFORMANCE RAIL SYSTEM

8,046 7,446 8,506 9,106 9,556 9,930 $52,590

In FY 2012, FRA requests $8.046 billion in obligation limitation for the National High

Performance Rail System (NHPRS). This request is $3.981 billion over the combined FY 2010

enacted levels for (1) Capital Assistance for High-speed Rail Corridors and Intercity Passenger

Rail Service and (2) Grants to the National Railroad Passenger Corporation (Amtrak).

This funding level represents a national commitment to developing world-class passenger rail

services. FRA will focus these resources on developing the infrastructure, stations, equipment,

and institutional capacity needed to plan and deliver the NHPRS, including providing financial

assistance for planning, engineering, and environmental analyses; right-of-way acquisition; and

design and construction.

In addition, this requested level will fully funds Amtrak’s operating and capital needs (including

a commitment to remedy years of underinvestment by eliminating the backlog of public

infrastructure needs, replacing aging and obsolete equipment, and accelerating the retirement of

legacy debt). As a result, Amtrak will be positioned to play a central role in the long-term

implementation of NHPRS. These funding levels are derived from three Amtrak documents:

Five Year Financial Plan, Report on State of Good Repair (April 2009), and the Fleet Plan.

118

Moreover, by eliminating the backlog of state of good repair projects on publicly owned or

controlled infrastructure (including the vital Northeast Corridor) and bringing all stations into

compliance with ADA standards, this proposal will enhance the safety and comfort of current

passengers, improve reliability and trip times on the Northeast Corridor, and ensure that our

public assets last for generations.

The FY 2012 request will also provide temporary operating support directly to the States for

State corridors, and provide States access to Federal assistance for capital needs. These funds

will further strengthen the Federal-State partnership in supporting passenger rail and creates an

environment for greater competition on State corridors.

Included in this request are funds to develop the financial and organization framework for U.S.

Rail Equipment. By providing a substantial and coordinated investment in procuring new rail

equipment, this proposal will stimulate domestic equipment manufacturing, lower costs by

achieving economies of scale, promote interoperability, and position the United States to

compete globally.

Finally, FRA proposes $50 million in Railroad Safety Technology Grants within the Capacity

Building & Transition Assistance program area. RSIA authorized $50 million annually for these

grants and FRA believes that this level of funding will help identify common issues and

solutions that will facilitate national deployment of positive train control (PTC). Moreover, this

funding will facilitate resolution of critical hardware and software issues associated with PTC

development, implementation, and deployment among multiple railroads. Common issues

include interoperability in a high-speed rail environment, limited shared communications in a

single high-density infrastructure, security and identity management standards, and a rapid and

reliable track database verification system. In FY 2010, FRA received approximately

$230 million of viable grant applications for the $50 million program. Implementation of PTC

represents the biggest fundamental change in railroad operations since the introduction of cab

signal systems in the 1920s and early 1930s.

When compared to the size of the economy, the initial investments in NHPRS – as well as the

expected peak years of NHPRS investments – would be smaller than the same periods in the

interstate highway system development process. The U.S. spent an average of $8.6 billion (in

2010 dollars) each year in the early years of the interstate construction (FY 1954 to FY 1959).

The FY 2012 budget request for NHPRS is also substantially lower than the rail programs of

some U.S. competitors. Under the six-year authorization proposal, the U.S. would invest about

$8.7 billion per year (approximately 0.05 percent of our 2012 gross domestic product)4 in new

infrastructure and the existing system. In contrast, China is spending approximately $70 billion

to $100 billion per year (more than 1.2 percent of its 2010 gross domestic product) to develop its

high-speed rail system. Spain is investing roughly $13 billion per year (about 0.9 percent of its

gross domestic product) to develop its high-speed system, and has found that this level of

investment is needed to achieve early successes and economies of scale in the rail industry.

These countries previously had limited passenger rail service, and are simultaneously advancing

multiple corridors and service types.

4 U.S. Congressional Budget Office, The Budget and Economic Outlook, Summary Table 1, August 2010.

119

FEDERAL RAILROAD ADMINISTRATION NATIONAL HIGH PERFORMANCE RAIL SYSTEM

NETWORK DEVELOPMENT





00.01 High Speed Corridor Development 0 0 3,137,000

00.02 Station Development 0 0 240,000

00.03 U.S. Rail Equipment Development 0 0 245,000

00.04 Capacity Building & Transition Assistance 0 0 378,000

01.00 Total direct program 0 0 4,000,000


09.00 Total obligations 0 0 4,000,000

11.02 Appropriation (trust fund) 0 0 1,000,000

11.37 Appropriations applied to liquidate contract authority 0 0 -1,000,000

Appropriation (total) 0 0 0

Contract Authority, mandatory

16.00 Contract authority 0 0 4,000,000



30.30 Obligations incurred: Unexpired accounts 0 0 4,000,000

30.40 Total outlays (gross) 0 0 -635,580



Mandatory

40.90 Budget Authority, gross 0 0 4,000,000

41.00 Outlays from new mandatory authority 0 0 635,580


41.80 Budget authority (net) 0 0 4,000,000

41.90 Outlays (net) 0 0 635,580

50.53 Obligated balance, EOY: Contract authority 3,000,000

120


NETWORK DEVELOPMENT


2010 2011 CR 2012


Direct Obligations:

25.1 Advisory & assistance service - - 130,000

41.0 Grants, subsidies, and contributions - - 3,870,000

99.9 Total new obligations . . . . . . . . . . . . . x - - 4,000,000

121


SYSTEM PRESERVATION AND RENEWAL


Identification code 69-8320-0-401 FY 2010 FY 2011 CR FY 2012



00.01 Public Asset Backlog Retirement 0 0 2,982,000

00.02 National Network Service 0 0 914,000

00.03 State of Good Repair and Recapitalization 0 0 150,000

01.00 Total direct program 0 0 4,046,000


09.00 Total obligations 0 0 4,046,000

11.02 Appropriation (trust fund) 0 0 2,600,000

11.37 Appropriations applied to liquidate contract authority 0 0 -2,600,000

Appropriation (total) 0 0 0

Contract Authority, mandatory

16.00 Contract authority 0 0 4,046,000



30.30 Obligations incurred: Unexpired accounts 0 0 4,046,000

30.40 Total outlays (gross) 0 0 -2,252,500



Mandatory

40.90 Budget Authority, gross 0 0 4,046,000

41.00 Outlays from new mandatory authority 0 0 2,252,500


41.80 Budget authority (net) 0 0 4,046,000

41.90 Outlays (net) 0 0 2,252,500



122


SYSTEM PRESERVATION AND RENEWAL


2010 2011 CR 2012


Direct Obligations:

25.1 Advisory & assistance services - - 48,460

41.0 Grants, subsidies, and contributions - - 3,997,540

99.9 Total new obligations . . . . . . . . . . . . . x - - 4,046,000

123



RAILROAD REHABILITATION AND IMPROVEMENT

FINANCING PROGRAM APPROPRIATIONS LANGUAGE

RAILROAD REHABILITATION AND IMPROVEMENT FINANCING PROGRAM

The Secretary of Transportation is authorized to issue to the Secretary

of the Treasury notes or other obligations pursuant to section 512 of the

Railroad Revitalization and Regulatory Reform Act of 1976 (Public Law

94-210), as amended, in such amounts and at such times as may be

necessary to pay any amounts required pursuant to the guarantee of the

principal amount of obligations under sections 511 through 513 of such

Act, such authority to exist as long as any such guaranteed obligation is

outstanding: Provided, That pursuant to section 502 of such Act, as

amended, no new direct loans or loan guarantee commitments shall be

made using Federal funds for the credit risk premium during fiscal year

[2011]2012.

124

FEDERAL RAILROAD ADMINISTRATION RAILROAD REHABILITATION AND IMPROVEMENT FINANCING

PROGRAM



The Transportation Equity Act of the 21st Century of 1998 established the Railroad

Rehabilitation and Improvement Financing (RRIF) loan and loan guarantee program.

SAFETEA-LU amended the program to allow direct loan and loan guarantees up to

$35,000,000,000 and required that no less than $7,000,000,000 be reserved for projects primarily

benefiting freight railroads other than class I carriers. The funding may be used: (1) to acquire,

improve, or rehabilitate intermodal or rail equipment or facilities, including track, components of

track, bridges, yards, buildings, or shops; (2) to refinance debt; or (3) to develop and establish

new intermodal or railroad facilities.

No federal appropriation is required, since a non-Federal infrastructure partner may contribute

the subsidy amount (in the form of a credit risk premium) required by the Credit Reform Act of

1990. Once received, statutorily established investigation charges are immediately available for

appraisals and necessary determinations and findings.

Identification code 69-X-0750 FY 2010 FY 2011 CR FY 2012



00.05 Upward Reestimate 16,457 18,509 0

00.06 Interest on re-estimates of direct loan subsidy 1,984 5,183 0





Mandatory:

12.00 Appropriation 18,441 23,692 0


New obligations -18,441 -23,692 0




30.30 New obligations 18,441 23,692 0

30.40 Total outlays (gross) -18,441 -23,692 0



40.10 Outlays from new mandatory authority 18,441 23,692 0





40.80 Outlays (net) 18,441 23,692 0


125

FEDERAL RAILROAD ADMINISTRATION RAILROAD REHABILITATION AND IMPROVEMENT FINANCING

PROGRAM


2010 2011 CR 2012


Direct Obligations:

33.0 Investments and loans 16,457 18,509 -

43.0 Interest and dividends 1,984 5,183 -


126

FEDERAL RAILROAD ADMINISTRATION RAILROAD REHABILITATION AND IMPROVEMENT

GUARANTEED LOAN FINANCING ACCOUNT


(in thousands of dollars)

Status of Guaranteed Loans (in thousands of dollars)

As required by the Federal Credit Reform Act of 1990, as amended, this non-budgetary account

records all cash flows to and from the Government resulting from loan guarantees committed in

1992 and beyond (including modifications of loan guarantees that resulted from commitments in

any year). The amounts in this account are a means of financing and are not included in the

budget totals.

2010 2011 CR 2012

Identification Code 69-4288-0-3-401 Estimate Annualized Request


21.40 Unobligated balance carried forward, start of year. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x . . . . . . 3,000

22.00 New budget authority (gross) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x . . . 3,000 3,000

23.90 Total budgetary resources available for obligation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x . . . 3,000 6,000

24.40 Unobligated balance carried forward, end of year. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x . . . 3,000 6,000

New budget authority (gross), detail

Mandatory

69.00 Offsetting collections (cash) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x . . . 3,000 3,000

Offsets:



88.40 Non-Federal sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x . . . 3,000 3,000

x


89.00 Budget authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x . . . . . . . . .

90.00 Outlays . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x . . . -3,000 -3,000

2010 2011 CR 2012


Position with respect to appropriations act

limitation on commitments:

2111 Limitation on guaranteed loans made by private lenders. . . . . . . .x . . . 100,000 100,000

2131 Guaranteed loan commitments exempt from limitation. . . . . . . . x . . . . . . . . .

2150 Total guaranteed loan commitments. . . . . . . . . . . . . . . . . . . . . . x . . . 100,000 100,000

Cumulative balance of guaranteed loans outstanding:

2210 Outstanding, start of year. . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . x . . . . . . 95,000

2231 Disbursements of new guaranteed loans. . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . .x . . . 100,000 100,000

2251 Repayments and prepayments. . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . .x . . . -5,000 -5,000

2290 Outstanding, end of year. . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . x . . . 95,000 190,000

Memorandum:

2299 Guaranteed amount of guaranteed loans outstanding, x

end of year. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95,000 190,000

127


LIQUIDATING ACCOUNT


2010 2011 CR 2012


Obligations by program activity

07.13 Interest paid to Treasury . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 297 157 11

09.00 Total new obligations (object class 43.0) . . . . . . . . . . . . . . . . . . . . . .x 297 157 11

Budget Resources:

Budgetary authority

Spending authority from offsetting collections, mandatory:

18.00 Collections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x 3,622 3,622 124

18.20 Capital transfer of spending authority from offsetting x

collections to general fund. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . -3,325 -3,465 -113

18.50 Spending authority from offsetting collections x

(total mandatory). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297 157 11

19.00 Budgetary authority. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x -297 -157 -11

19.30 Total Budgetary resources available. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x -297 -157 -11


30.30 Obligations incurred, unexpired accounts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 297 157 11

30.40 Outlays (gross) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x -297 -157 -11

Budget authority and outlays (net), detail:

Mandatory:

40.90 Budget authority . . . . . . . . . . . . . . . . . . . . . . . . x 297 157 11

41.00 Outlays from new mandatory balances . . . . . . . . . . . . . . . . . . . . . . . .x 297 157 11

Offsets:


Offsetting collections (collected) from:

41.23 Non-Federal sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x -3,622 -3,622 -124

41.60 Budget authority, net (mandatory) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x -3,622 -3,622 -124

41.70 Outlalys, net (mandatory). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x -3,622 -3,622 -124

41.80 Budget authority, net (total) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x -3,325 -3,465 -124

41.90 Outlalys, net (total). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x -3,325 -3,465 -124

128


LIQUIDATING ACCOUNT

Status of Direct Loans


This account records credit activity that occurred prior to the passage of the Federal Credit

Reform Act, including:

Section 505—Redeemable preference shares - Authority for the section 505 redeemable

preference shares program expired on September 30, 1988. The account reflects actual and

projected outlays resulting from payments of principal and interest as well as repurchases of

redeemable preference shares and the sale of redeemable preference shares to the private sector.

Section 511—Loan repayments - This program reflects repayments of principal and interest on

outstanding borrowings by the railroads to the Federal Financing Bank under the section 511

loan guarantee program.

As required by the Federal Credit Reform Act of 1990, these account records, for this program,

all cash flows to and from the Government resulting from direct loans obligated and loan

guarantees committed prior to 1992. All new activity in this program (including modifications

of direct loans or loan guarantees that resulted from obligations or commitments in any year) is

recorded in corresponding program accounts and financing accounts.

2010 2011 CR 2012


Cumulative balance of direct loans outstanding:

1210 Outstanding, start of year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 7,053 3,728 263

1251 Repayments: Repayments and prepayments . . . . . . . . . . . . . . . . . . x -3,325 -3,465 -113

1290 Outstanding, end of year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 3,728 263 150

129


LIQUIDATING ACCOUNT

Balance Sheet

2010

Identification Code 69-4411-0-3-401 Actual

Assets:

Net value of assets related to post-1991

direct loans receivable

1601 Direct loans , gross . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 3,728

1602 Interest receivable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 297

1699 Value of assets related to direct loans . . . . . . . . . . . . . . . . . . . . . .x 4,025

1999 Total Assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x 4,025

Liabilities:

Federal liabilities:

2102 Interest payable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 297

2103 Debt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 3,728

2999 Total liabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 4,025

4999 Total liabilities and net position . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 4,025

130


LIQUIDATING ACCOUNT


2010 2011 CR 2012


Direct Obligations:

43.0 Interest and dividends 297 157 -

99.9 Total new obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 297 157 -

131


DIRECT LOAN FINANCING ACCOUNT


2010 2011 CR 2012



07.10 Direct loans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x 172,000 600,000 600,000

07.13 Interest paid to Treasury . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x 20,213 38,000 38,000

07.42 Downward reestimate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x 1,908 5,949 …

07.43 Interest on Downward reestimate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 13,909 14,695 …

09.00 Total new obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .\ x 208,030 658,644 638,000

Budgetary resources available for obligation:

Unobligated balance:

10.00 Unobligated balance carried forward, start of year. . . . . . . . . . . . x 3,264 2,000 0

10.21 Recoveries of prior year unpaid obligations. . . . . . . . . . . . . . . . . . . . . x 18,334 0 0

10.50 Unobligated balance (total)… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x 21,598 2,000 0


Mandatory:

14.00 Borrowing authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 168,864 600,000 600,000

Mandatory:

18.00 Offsetting collections (interest on uninvested funds). . . . . . . . . . 1,785 3,000 3,000

18.00 Offsetting collections (principal-borrowers). . . . . . . . . . . . . . . . . . . . . . . . . . . . 9,752 60,000 60,000

18.00 Offsetting collections (Upward Re-estimate) . . . . . . . . . . . . . . . . . . . . . 18,441 23,692 . . .

18.00 Offsetting collections (interest-borrowers). . . . . . . . . . . . . . . . . . . . . . . . . . . .x 16,077 27,000 27,000

18.00 Collections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . 1,388 6,000 6,000

18.25 Spending authority from offsetting collections . . . . . . . . . . . . . . . . . . . .

applied to repay debt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . -26,605 -63,000 -58,000

18.50 Spending authority from offsetting collections

(total mandatory) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x 20,838 56,692 38,000

19.00 Financing authority (total) . . . . . . . . . . . . . . . . . . . . . . . . . x 189,702 656,692 638,000

19.30 Total budgetary resources available . . . . . . . . . . . . . . . . . . . . . . . . . x 210,540 658,692 638,000

Memorandum (non-add) entries:

19.41 Unexpired unobligated balance, end of year. 2,000


30.00 Obligated balance, brought forward, Oct. 1 (gross) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 89,633 199,247 223,891

30.20 Obligated balance, start of year (net). . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 89,633 0 0

30.30 Obligations incurred, unexpired accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 208,030 660,644 638,000

30.40 Financing disbursements (gross) . . . . . . . . . . . . . . . . . . . . . . . . x -80,082 -636,000 -636,000

30.80 Recoveries of prior year unpaid . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . x -18,334 0 0

30.90 Obligated balance, end of year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x 199,247 223,891 225,891

Financing authority and disbursements, net:

Mandatory:

40.90 Financing authority, gross . . . . . . . . . . . . . . . . . . . . . . . . x 189,702 656,692 638,000

Financing disbursements:

41.10 Financing disbursements, gross . . . . . . . . . . . . . . . . . . . . . . . . x 80,082 636,000 636,000

Offsets against gross financing authority and disbursements:

41.20 Federal sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x -18,441 -23,692 . . .

41.22 Interest on uninvested funds. . . . . . . . . . . . . . . . . . . . . . . . . . . . . x -1,785 -3,000 -3,000

41.23 Credit Risk Premium. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x -1,388 -6,000 -6,000

41.23 Principal repayment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x -9,752 -60,000 -60,000

41.23 Interest repayment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x -16,077 -27,000 -27,000

41.30 Offsets against gross financing auth and x

disbursements, (total). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . -47,443 -119,692 -96,000

41.60 Financing authority, net (mandatory) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 142,259 537,000 542,000

41.70 Financing disbursements, net (mandatory) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 32,639 516,308 540,000

41.80 Financing authority, net (total) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 142,259 537,000 542,000

41.90 Financing disbursements, net (total) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 32,639 516,308 540,000

132



Status of Direct Loans


This non-budgetary account, as required by the Federal Credit Reform Act of 1990, records all

cash flows to and from the Government resulting from direct loans. The amounts in this account

are a means of financing and are not included in the budget totals.

Balance Sheet

2010 2011 CR 2012


Position with respect to appropriations act limitation on obligations

1111 Limitation on direct loans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x . . . … . . .

1131 Direct loan obligations exempt from limitation . . . . . . . . . . . . . . . . . . . . . . . .x 172,000 600,000 600000

1150 Total direct loan obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 172,000 600,000 600,000

Cumulative balance of direct loans outstanding:

1210 Outstanding, start of year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 375,639 409,939 949,939

1231 Disbursements; Direct loan disbursements . . . . . . . . . . . . . . . . . . . .x 44,052 600,000 600,000

1251 Repayments: Repayments and prepayments . . . . . . . . . . . . . . . . . . .x -9,752 -60,000 -60,000

1290 Outstanding, end of year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 409,939 949,939 1,489,939

2010

Identification Code 69-4420-0-3-401 Actual

Assets:

Net value of assets related to post-1991

direct loans receivable

1401 Direct loans receivable, gross . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 409,939

1499 Net present value of assets related to direct loans . . . . . . . . . . .x 409,939

1999 Total assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 409,939

Liabilities:

2105 Federal liabilities: Other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 409,939

2999 Total liabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 409,939

4999 Total liabilities and net position . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 409,939

133



Receipts – Policy/Baseline

2010 2011 CR 2012


Receipts - Policy

2004 All other offsetting receipts x 15,817 20,645 . . .

2004 Mandatory, authorizing committee, regular. . . . . . . . . . . . . . . . x 15,817 20,645 . . .

Receipts - Baseline

2004 All other offsetting receipts x 15,817 20,645 . . .

2004 Mandatory, authorizing committee, regular. . . . . . . . . . . . . . . . x 15,817 20,645 . . .

134


135

FEDERAL RAILROAD ADMINISTRATION EFFICIENCY INCENTIVE GRANTS TO THE NATIONAL RAILROAD




Resources in this account are provided to the Secretary of Transportation for grants to the

National Passenger Railroad Corporation (Amtrak) for operating expenses contingent upon

efficiency gains. No new funds are requested for this program in 2012.




30.20 Obligated balance , start of year 21,562 0 0





40.11 Outlays from discretionary balances 21,562 0 0




40.80 Outlays (net) 21,562 0 0



136

FEDERAL RAILROAD ADMINISTRATION NORTHEAST CORRIDOR IMPROVEMENT PROGRAM



This program provided funds to continue the upgrade of passenger rail service in the corridor

between Washington, D.C., and Boston. Since 2001, capital funding has been provided in the

Amtrak appropriation. Under the Administration’s surface transportation authorization proposal,

Federal resources for capital improvements to the Northeast Corridor will be an eligible activity

under the new National Rail System program, funded within the Rail Account of the

Transportation Trust Fund.




00.01 Northeast Corridor Improvement Program 633 5,419 0

00.91 Total direct program 633 5,419 0


09.00 Total obligations 633 5,419 0



10.21 Recoveries 2,457

New budget authority (gross) 0 0 0


New obligations (633) (5,419) 0




30.20 Obligated balance , start of year 2,457 633 0

30.30 New obligations 633 5,419 0

30.40 Total outlays (gross) 0 (6,052) 0

30.80 Recoveries (2,457)




40.11 Outlays from discretionary balances 0 6,052 0

40.20 Total outlays (gross) 0 6,052 0



40.80 Outlays (net) 0 6,052 0



137

FEDERAL RAILROAD ADMINISTRATION NORTHEAST CORRIDOR IMPROVEMENT PROGRAM


2010 2011 2012

Identification Code 69-0123-0-1-401 Actual Estimate Estimate

Direct Obligations:

25.2 633 5,419 -

99.9 Total new obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 633 5,419 -

Other services

138

FEDERAL RAILROAD ADMINISTRATION EMERGENCY RAILROAD REHABILITATION AND REPAIR



Funding for this program was provided in a supplemental appropriation in 2008. This program

provides discretionary grants to States to repair and rehabilitate Class II and Class III railroad

infrastructure damaged by hurricanes, floods, and other natural disasters in areas for which the

President declared a major disaster under title IV of the Robert T. Stafford Disaster Relief and

Emergency Assistance Act of 1974. In 2012, no new funding is requested for this program.




00.01 Emergency Railroad Rehabilitation and Repair 14,772 5,228 0








New obligations (14,772) (5,228) 0




30.20 Obligated balance , start of year 0 6,361 0

30.30 New obligations 14,772 5,228 0





40.11 Outlays from discretionary balances 8,411 11,589 0




40.80 Outlays (net) 8,411 11,589 0



139

FEDERAL RAILROAD ADMINISTRATION EMERGENCY RAILROAD REHABILITATION AND REPAIR


2010 2011 2012


Direct Obligations:



140

Exhibit III-1

RAILROAD SAFETY TECHNOLOGY PROGRAM



The Railroad Safety Technology Program provides competitive grants for the deployment of

train control technologies to passenger and freight rail carriers, railroad suppliers, and State and

local governments for projects that have a public benefit of improved railroad safety and

efficiency. Projects may include the deployment of train control technologies, train control

component technologies, processor-based technologies, electronically controlled pneumatic

brakes, rail integrity inspection systems, rail integrity warning systems, switch position

indicators and monitors, remote control power switch technologies, track integrity circuit

technologies, and other new technologies to improve the safety of railroad systems.

Priority is given to projects that make technologies interoperable between railroad systems;

accelerate the deployment of train control technology on high-risk corridors, such as those that

have high volumes of hazardous materials shipments, or over which commuter or passenger

trains operate; or benefit both passenger and freight safety and efficiency. Entities need not have

developed plans required under 49 U.S.C. 20156(e)(2) and 20157. However, in order to qualify

for a grant under this program, all applicants must demonstrate that they are currently developing

the required plans.

No new funds are requested in this account for fiscal year 2012.

FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST

CHANGE

FY 2010-2012

Railroad Safety Technology Program 50,000 50,000 0 (50,000)

TOTAL 50,000 50,000 0 (50,000)

Positions




FTE



Total FTE 0.0 0.0 0.0 0.0

($000)


141

Exhibit III-1a

RAILROAD SAFETY TECHNOLOGY PROGRAM


($000)

Item FTE ($000)

FY 2010 Actual 0.0 50,000

Baseline Changes:





GSA Rent - -

WCF - -


Program Changes

Positive Train Control Grants - (50,000)

Subtotal, Program Changes 0.0 (50,000)

TOTAL 0.0 0

Change from

FY 2010 to FY 2012

142

FEDERAL RAILROAD ADMINISTRATION RAILROAD SAFETY TECHNOLOGY PROGRAM





00.01 Railroad Safety Technology Program 0 50,000 50,000

01.00 Total direct program 0 50,000 50,000

09.00 Total new obligations 0 50,000 50,000

Budgetary Resources available for obligation

1000 Unobligated balance, brought forward, start of year 0 50,000 50,000


Discretionary:

11.00 Appropriation 50,000 50,000 0







19.30 Total budgetary resources available for obligation 50,000 100,000 50,000

New obligations 0 -50,000 -50,000

19.41 Unobligated balance available, end of year 50,000 50,000 0


30.20 Obligated balance , start of year 0 0 20,000

30.30 New obligations 0 50,000 50,000

30.40 Total outlays (gross) 0 -30,000 -50,000

Obligated balance transferred from other accounts 0 0 0




31.00 Obligated balance, end of year 0 20,000 20,000





Offsets:




40.33 Non-federal sources 0





40.80 Outlays (net) 0 30,000 50,000

Unpaid Obligations, EOY 0 0


143

FEDERAL RAILROAD ADMINISTRATION RAILROAD SAFETY TECHNOLOGY PROGRAM


2010 2011 CR 2012


Direct Obligations:

21.0 Travel and Transportation of persons. . . . . . . . . . . . . . . . . . . . . . . 0 0 0

25.2 Other services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x 0 0 0

41.0 Grants, subsidies, and contributions . . . . . . . . . . . . . . . . . . . . . . . . . .x 0 50,000 50,000

Subtotal, Direct obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 0 50,000 50,000

99.0 Subtotal, Reimbursable obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 0 0 0

99.9 Total new obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x 0 50,000 50,000

144

FEDERAL RAILROAD ADMINISTRATION GRANTS TO THE NATIONAL RAILROAD PASSENGER CORPORATION - ARRA



In 2009, the American Recovery and Reinvestment Act (ARRA) provided $1.3 billion to Amtrak

for capital grants of which $50 million was designated for capital security grants to fund

enhancements in situational awareness, improvised explosive devices (IED) and Vehicle Borne

Improvised Explosive Device detection, risk assessment/risk reduction cycle optimization (when

vulnerabilities are discovered), and quick response communications within the intercity

passenger rail network. The remaining $850 million funds projects that remediate vulnerabilities

in the system’s physical infrastructure and enhance national incident management and risk

mitigation capabilities in the intercity passenger rail network.




00.01 Capital Grants - Recovery Act Capital Investment 1,491 0 0

00.02 Capital Grants - Recovery Act Security Investment 789 0 0

00.05 Capital Grant - Recovery Act - Oversight 4,155 0 0

00.91 Total direct program 6,435 0 0


09.00 Total obligations 6,435 0 0


10.00 Unobligated balance available, start of year 6,435 0 0


19.30 Total budgetary resources available for obligation 6,435 0 0

New obligations (6,435) 0 0




30.20 Obligated balance , start of year 1,194,868 322,783 0

30.30 New obligations 6,435 0 0


Obligated balance transferred from other acct 6,344 0 0








40.80 Outlays (net) 884,864 322,783 0



145

FEDERAL RAILROAD ADMINISTRATION GRANTS TO THE NATIONAL RAILROAD PASSENGER CORPORATION - ARRA


2010 2011 2012


Direct Obligations:

21.0 Travel and transportation of persons 5 - -

25.3 Purchases of goods and services from

Government Accounts 4,150 - -

41.0 Grants, subsidies, and contributions 2,280 - -

99.9 Total new obligations . . . . . . . . . . . . . x 6,435 - -

146

FEDERAL RAILROAD ADMINISTRATION GRANTS TO THE NATIONAL RAILROAD PASSENGER

CORPORATION



The National Railroad Passenger Corporation (Amtrak) was established in 1970 through the Rail

Passenger Service Act. Amtrak is operated and managed as a for profit corporation with all

Board members appointed by the Executive Branch of the Federal Government, with the advice

and consent of the Senate. Amtrak is not an agency or instrument of the U.S. Government.

Since 2006, federal resources specifically for Amtrak have been provided through separate

appropriation accounts for capital, operating, and efficiency incentive grants.

Under the Administration’s surface transportation authorization proposal, the National Railroad

Passenger Corporation (Amtrak) will be an eligible grantee for competitive grants under the

System Preservation and Renewal component of the new National Rail System program, funded

within the Rail account of the Transportation Trust Fund.




00.04 Amtrak Asset Valuation 0 972 0

00.91 Total direct program 0 972 0


09.00 Total obligations 0 972 0


10.00 Unobligated balance available, start of year 972 972 0


19.30 Total budgetary resources available for obligation 972 972 0

New obligations 0 (972) 0




30.20 Obligated balance , start of year 8,039 4,654 0

30.30 New obligations 0 972 0












40.80 Outlays (net) 3,385 5,626 0



147

FEDERAL RAILROAD ADMINISTRATION GRANTS TO THE NATIONAL RAILROAD PASSENGER

CORPORATION


2010 2011 CR 2012


Direct Obligations:

41.0 Grants, subsidies, and contributions - 972 -

99.9 Total new obligations . . . . . . . . . . . . . x - 972 -

Object Classification (in thousands of dollars)

148


INTERCITY PASSENGER RAIL



This competitive grant program encourages state participation in its passenger rail service.

Under this program, a State or States may apply for grants for up to 50 percent of the cost of

capital investments necessary to support improved intercity passenger rail service that either

requires no operating subsidy or for which the State or States agree to provide any needed

operating subsidy. To qualify for funding, States must include intercity passenger rail service as

an integral part of Statewide transportation planning as required under 23 U.S.C. 135.

Additionally, the specific project must be on the Statewide Transportation Improvement Plan at

the time of application.

No new funds are requested for this program in 2012.




00.01 Intercity Passenger Rail 13,471 78,422 0













30.30 New obligations 13,471 78,422 0

30.40 Total outlays (gross) (10,275) (18,000) (60,000)








40.80 Outlays (net) 10,275 18,000 60,000



149

FEDERAL RAILROAD ADMINISTRATION INTERCITY PASSENGER RAIL


2010 2011 CR 2012


Direct Obligations:



150



RAIL LINE RELOCATION AND IMPROVEMENT

PROGRAM APPROPRIATIONS LANGUAGE

[RAIL LINE RELOCATION AND IMPROVEMENT PROGRAM]

[For necessary expenses of carrying out section 20154 of title 49, United

States Code, $34,532,000, to remain available until expended.]

151

Exhibit III-1

RAIL LINE RELOCATION AND IMPROVEMENT PROGRAM


FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST

CHANGE

FY 2010-2012

Rail Line Relocation 10,013 34,532 - (10,013)

Rail Line Relocation Earmarks


Improvement, MO 800 - - (800)

COLT Overpass over U.S. 63, Boone County, MO - - - -

Detroit/Wayne County Port Authority Rail Access

Improvement Program, MI 500 - - (500)

Downeast Rail Rehabilitation, ME - - - -

East Belt Railroad Grade Crossing Safety Improvements,

Houston, TX - - - -

Elevated Railroad Track Project, Claremore, OK - - - -

Grade Crossing Mitigation, Galesburg, IL 2,922 - - (2,922)

Grade Separated Railroad Crossing, TX 500 - - (500)

Grand Rapids Amtrak Railroad Relocation, MI - - - -

High Speed Railraod Passenger Service, Duluth, MN - - - -

Hoquiam Horn Spur Railroad Track Improvement Project, WA 350 - - (350)

Industrial Park Rail Project, Greene County, AL 400 - - (400)

Lackawaxen Interchange Rehabilitation, Pike County, PA - - - -

MN Valley Regional Rail Authority Rehabilitation Project, MN 1,000 - - (1,000)

Mt. Vernon RR Cut, NY - - - -

North Rail Relocation Project, Cameron County, TX 400 - - (400)

Ogden Avenue Grade Separation, Aurora, IL 1,000 - - (1,000)

Passenger Rail Corridor CREATE Projects, Chicago, IL - - - -

Pecos St. Grade Crossing, Adams Cty, CO - - - -

Phase 3 Rail Rehabilition in Redwood Falls, MN - - - -

Port of Alexandria Rail Spur, City of Alexandria, LA 487 - - (487)

Port of Monroe Dock & Industrial Park, Monroe County, IL 500 - - (500)

Quad Cities Track Improvemnet, IL - - - -

Rail Safety Improvements, Tualatin, OR 250 - - (250)

Rail Safety Upgrades, Coos Cty, NH 800 - - (800)

Rail Spur Extension, Greater Ouachita Parish, LA 2,000 - - (2,000)

Railroad Bridge Rehabilitation, El Dorado, AR - - - -

Railroad Bridge Rehabilitation, Perry County, IN - - - -

Railroad Grade Crossing Safety Improvements, Huntington,

NY - - - -

Railroad Overpass, Blytheville, AR 500 - - (500)

Railroad Relocation Planning, Terre Haute, IN - - - -

Railway-Highway Grade Crossing Mitigation, Northeastern IL 1,948 - - (1,948)

Sacremento Intermodal Terminal Facility Track Reloc., CA 750 - - (750)

Shelby Intermodal Hub, MT 974 - - (974)

Short Line Rehabilitation, Salem , NJ 750 - - (750)

South Orient Rail Line Rehabilitation in San Angelo, TX 1,000 - - (1,000)

South Orient Rail Line Rehabilitation, TX 1,000 - - (1,000)

Southeast 44th Avenue Railroad Crossing Improvements, Des

Moines, IA - - - -

Southern Rail Corridor, MN 487 - - (487)

Springfield Rail Relocation, IL 250 - - (250)

Stourbridge Line Maintenance and Repair, Honesdale, PA - - - -

Transbay Transit Center, San Francisco, CA 750 - - (750)


($000)

152

RAIL LINE RELOCATION AND IMPROVEMENT PROGRAM Summary by Program Activity (cont’d)


This program provides Federal assistance to States for relocating or making necessary

improvements to local rail lines.


FY 2010

ACTUAL

FY 2011 CR

ANNUALIZED

FY 2012

REQUEST

CHANGE

FY 2010-2012

Waterfront Rail Reconstruction Project, Kawasaki SWIMO,

NY 779 - - (779)

West Freight Access Project, Fort of Vancouver, WA 2,922 - - (2,922)

West Wye Rail Line Relocation, City of Springfield, MO 500 - - (500)

Zanesville-Muskingum County Port Authority, OH - - - -

Subtotal, Rail Line Relocation Earmarks 24,519 0 0 (24,519)

TOTAL, NATIONAL RAIL SYSTEM 34,532 34,532 0 (34,532)

Positions




FTE



Total FTE 0.0 0.0 0.0 0.0


($000)

153

Exhibit III-1a

RAIL LINE RELOCATION AND IMPROVEMENT PROGRAM


($000)

Item FTE ($000)

DIRECT:

FY 2010 Actual 0.0 34,532

Baseline Changes:



One Less Compensable Day - -


GSA Rent - -

WCF - -


Program Changes

Rail Line Relocation 0.0 (10,013)

Rail Line Relocation Earmarks 0.0 (24,519)

Subtotal, New/Expanded Programs 0.0 (34,532)

TOTAL FY 2012 Request 0.0 0

Change from

FY 2010 to FY 2012

154

FEDERAL RAILROAD ADMINISTRATION RAIL LINE RELOCATION AND IMPROVEMENT PROGRAM





00.01 Intercity Passenger Rail 6,657 107,055 0







Discretionary:

11.00 Appropriation 34,532 34,532 0














30.20 Obligated balance , start of year 392 6,742 56,898

30.30 New obligations 6,657 107,055 0

30.40 Total outlays (gross) (307) (56,899) (39,632)

Obligated balance transferred from other acct 0 0 0






40.10 Outlays from new discretionary authority 0 17,266 0



Offsets:









40.80 Outlays (net) 307 56,899 39,632

Unpaid Obligations, EOY 6,742 56,898 17,266

155

FEDERAL RAILROAD ADMINISTRATION RAIL LINE RELOCATION AND IMPROVEMENT PROGRAM


2010 2011 CR 2012


Direct Obligations:



156

FEDERAL RAILROAD ADMINISTRATION NEXT GENERATION HIGH-SPEED RAIL



The Next Generation High-Speed Rail Program funds: research, development, and technology

demonstration programs and the planning and analysis required to evaluate high-speed rail

technology proposals.





00.01 High Speed Non-Electric Locomotives 990 0 0

00.03 Grade Crossing Hazard Mitigation/Low Cost Innovative Technologies 0 4,115 0

00.05 Corridor Planning 576 4,115 0






10.21 Recoveries 1,048


New obligations -1,566 -8,230 0





30.30 New obligations 1,566 8,230 0

30.40 Total outlays (gross) -3,416 -9,052 -8,739

30.80 Recoveries -1,048 0 0

31.00 Obligated balance, end of year 9,561 8,739 0







40.80 Outlays (net) 3,416 9,052 8,739



157

FEDERAL RAILROAD ADMINISTRATION NEXT GENERATION HIGH-SPEED RAIL


2010 2011 2012


Direct Obligations:

25.3

1,566 8,230 -


Other purchases of goods and

services from Government

accounts

158

FEDERAL RAILROAD ADMINISTRATION PENNSYLVANIA STATION REDEVELOPMENT PROJECT



Funds are used to redevelop the Pennsylvania Station in New York City, which involves

renovating the James A. Farley Post Office building. Funding for this project was included in

the Grants to the National Railroad Passenger Corporation appropriation in 1995 through 1997,

and the Northeast Corridor Improvement Program in 1998. In 2000, an advance appropriation of

$20 million was provided for 2001, 2002, and 2003. In 2001, Congress specified that the

$20 million advance appropriation provided in 2000 for the Farley Building was to be used

exclusively for fire and life safety initiatives.





00.01 Pennsylvania Station redevelopment project 0 59,827 0

00.91 Total direct program 0 59,827 0


09.00 Total obligations 0 59,827 0




New obligations 0 -59,827 0




30.20 Obligated balance , start of year 19 19 55,041

30.30 New obligations 0 59,827 0

30.40 Total outlays (gross) 0 -4,805 -23,931

31.00 Obligated balance, end of year 19 55,041 31,110







40.80 Outlays (net) 0 4,805 23,931



159

FEDERAL RAILROAD ADMINISTRATION PENNSYLVANIA STATION REDEVELOPMENT PROJECT


2010 2011 2012


Direct Obligations:

41.0 Grants, subsidies, and contributions - 59,827 -

99.9 Total new obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .x - 59,827 -

160

FEDERAL RAILROAD ADMINISTRATION ALASKA RAILROAD REHABILITATION



These funds have historically been earmarked under the Department of Defense Appropriation

for direct payments to the Alaska railroad.






30.40 Total outlays (gross) -492 -47 0








40.80 Outlays (net) 492 47 0



161



ADMINISTRATIVE PROVISIONS—FEDERAL RAILROAD ADMINISTRATION

Sec. 151. The Secretary of Transportation may receive and expend

cash, or receive and utilize spare parts and similar items, from non-United

States Government sources to repair damages to or replace United States

Government owned automated track inspection cars and equipment as a

result of third party liability for such damages, and any amounts collected

under this section shall be credited directly to the [Railroad] Safety and

Operations account of the Federal Railroad Administration, and shall

remain available until expended for the repair, operation and maintenance

of automated track inspection cars and equipment in connection with the

automated track inspection program.

Sec. 152. (a) Schedule of Railroad Safety User fees. The Secretary of

Transportation shall prescribe by regulation, for application in the current

fiscal year and in subsequent fiscal years, a schedule of rail safety fees for

railroad carriers subject to Part A of Subtitle V of title 49, United States

Code. The fees shall cover the costs of carrying out such Part and Chapter

51 of title 49, United States Code, (transportation of hazardous materials)

and shall be imposed fairly on railroad carriers, in reasonable relationship

to appropriate criteria to be developed by the Secretary. The Secretary

shall amend this regulation periodically so as to ensure that the schedule of

fees covers such costs.

(b) Collection Procedures. The Secretary shall prescribe procedures to

collect the fees. The Secretary may use the services of a department,

agency, or instrumentality of the United States Government or a State or

local authority to collect the fees, and may reimburse the department,

agency, [or] instrumentality, or authority a reasonable amount for its

services.

(c) Collection, Deposit, and Use.-

(1) Fees collected under this section shall be deposited in the Federal

Railroad Administrations [Federal Railroad]Safety and Operations

account as offsetting collections.

(2) Such fees shall be collected and available to the extent provided

in appropriations acts.

162



HISTORY OF APPROPRIATIONS

FY 2002 to 2011 (in thousands of dollars)

Account FY 2002 FY 20033/

FY 20044/

FY 20055/

FY 20066/

Appropriations Realized: -459 -300 -517 -534116,857 116,600 130,053 138,651

Safety and Operations 116,3981/

116,300 129,536 138,117 144,490

Railroad Safety Technology Program -- 686 -- -- --

Local Rail Freight Assistance 29,000 29,134 -- -- --

Railroad Research and Development -- -- 33,824 35,737 54,524

Rail Line Relocation and Improvement -- -- -- -- --

Pennsylvania Station 20,000 19,870 -- -- --

Amtrak 826,4762/

1,043,175 1,217,773 1,207,264 1,293,6337/

Amtrak Reform Council 225 -- -- -- --

Intercity Passenger Rail Grants -- -- -- -- --

Next Generation High-Speed Rail 32,300 30,252 37,179 19,493 --

Alaska Railroad Rehabilitation 20,000 21,857 24,853 24,800 9,900

Capital Assistance for HSR Corridors and IPR -- -- -- -- --

Subtotal 1,044,399 1,261,274 1,443,165 1,425,411 1,502,547

Other New Authority:

Railroad Rehab and Improvement Program -- 7,470 5,713 -- --

Emergency Railroad Rehabilitation & Repair

Capital Grants to the Natl' RailRoad Passenger Corp -- -- -- -- --

Capital Assistance for High Speed Rail Corridors and -- -- -- -- --

Intercity Passenger Rail Service

Total FRA Budget Authority 1,044,399 1,268,744 1,448,878 1,425,411 1,502,547

Notes:

1/ FY 2002 Safety and Operations appropriation reflects $110.587M (P.L. 107-87) and $6.0M (P.L. 107-117).

2/ FY 2002 Amtrak appropriation reflects $521.476M (P.L. 107-87), $100.0M (P.L. 107-117), and $205.0M (P.L. 107-206).

3/ FY 2003 appropriations (P.L. 108-7) reflect a 0.65% across-the-board rescission.




7/ FY 2006 Amtrak total appropriation includes Operating Grants ($495.0M), Capital/Debt Service Grants ($780.0M), and Efficiency Grants ($40.0M), of which $8.3M of

Efficiency Grants is available for revenue service demonstration only.

163



HISTORY OF APPROPRIATIONS (cont’d)

FY 2002 to 2011 (in thousands of dollars)

FY 2011 CR

Account FY 2007 FY 2008 FY 2009 FY 2010 Annualized15/

Appropriations Realized: 701149,570

Safety and Operations 150,271 150,193 159,445 172,270 172,270

Railroad Safety Technology Program -- -- -- 50,000 50,000

Local Rail Freight Assistance -- -- -- -- --

Railroad Research and Development 34,524 35,964 33,950 37,613 37,613

Rail Line Relocation and Improvement -- 20,0409/

25,000 34,532 34,532

Pennsylvania Station -- -- -- -- --

Amtrak 1,293,5508/

1,325,00010/

1,490,00012/

1,564,62514/

1,564,625

Amtrak Reform Council -- -- -- -- --

Intercity Passenger Rail Grants -- 30,000 90,000 -- --

Next Generation High-Speed Rail -- -- -- -- --

Alaska Railroad Rehabilitation -- -- -- -- --

Capital Assistance for HSR Corridors and IPR -- -- -- 2,500,000 2,500,000

Subtotal 1,478,345 1,561,197 1,798,395 4,359,040 4,359,040

Other New Authority:

Railroad Rehab and Improvement Program 3,294 20,751 16,753 18,441 23,692

Emergency Railroad Rehabilitation & Repair 20,00011/

Capital Grants to the Natl' RailRoad Passenger Corp -- -- 1,300,00013/

-- --

Capital Assistance for High Speed Rail Corridors and -- -- 8,000,00013/

-- --

Intercity Passenger Rail Service

Total FRA Budget Authority 1,481,639 1,601,948 11,115,148 4,377,481 4,382,732

Notes:

9/ FY 2008 Rail Line Relocation and Improvement appropriation (P.L. 110-161) reflects a 2% rescission on $5.24M in earmarks.

10/ FY 2008 appropriations (P.L. 110-161) reflects Amtrak total appropriation, which includes Operating Grants ($475.0M) and Capital/Debt Service Grants ($850.0M).

11/ FY 2008 Emergency Supplemental (P.L. 110-329).

12/ FY 2009 appropriations (P.L. 111-8) reflects Amtrak total appropriaiton, which includes Operating Grants ($550.0M) and Capital/Debt Service Grants ($940.0M).

13/ FY 2009 ARRA appropriations (P.L. 111-5) reflects $1.3B for Amtrak and $8.0B for HSIPR.

14/ FY 2010 appropriations (P.L. 111-117) reflects Amtrak total appropriation, which includes Operating Grants ($563.0M) and Capital/Debt Service Grants ($1,001.625M).

15/ FY 2011 reflects a full-year CR at FY 2010 level for all appropriations.

8/ FY 2007 full year CR appropriations (P.L. 110-5) reflects Amtrak total appropriation, which includes Operating Grants ($495.0M), Capital/Debt Service Grants ($780.0M), and

Efficiency Grants ($31.3M).

164



DISCUSSION OF EXHIBIT 300s

The Exhibit 300 is designed to coordinate OMB’s collection of agency information for its reports

to the Congress required by the Federal Acquisition Streamlining Act of 1994 (FASA Title V)

and the Clinger-Cohen Act of 1996; to ensure the business case for investments are made and

tied to the mission statements, long-term goals and objectives, and annual performance plans

developed pursuant to the GPRA. For IT, exhibit 300s are designed to be used as one-stop

documents for many of IT management issues such as business cases for investments, IT security

reporting, Clinger Cohen Act implementation, E-Gov Act implementation, Government

Paperwork Elimination Act implementation, agency’s modernization efforts, and overall project

investment management. FRA has completed exhibit 300s for each of our IT Projects; they can

be found online at www.dot.gov.

http://www.dot.gov/

165



SECTION 4: RESEARCH, DEVELOPMENT, AND TECHNOLOGY

RESEARCH, DEVELOPMENT, AND TECHNOLOGY

BUDGET AUTHORITY

(in thousands of dollars)

EXHIBIT IV-1


Program

FY 2010

Actual

FY 2012

Request

FY 2012

Applied

FY 2012

Development

Railroad Research and Development 37,613 40,000 7,725 29,425

Track Research 11,600 12,600 3,250 6,500

Track and Structures 5,450 5,450 1,550 3,900

Track and Train Interaction 3,600 3,800 1,200 2,600

R&D Facilities and Test Equipment 2,550 2,850 N/A N/A

Rail Cooperative Research Program 0 500 500 0

Equipment and Operating Practices 16,043 16,930 3,125 13,805

Human Factors 3,270 3,670 375 3,295

Rolling Stock and Components 3,000 3,000 300 2,700

Hazarodous Materials Transportation 1,550 1,550 250 1,300

Train Occupant Protection 4,600 4,700 1,200 3,500

Railroad Systems Issues 3,623 4,010 1,000 3,010

Signals, Train Control and Communication 9,970 10,470 1,350 9,120

Train Control 7,870 8,270 1,000 7,270

Grade Crossings 2,100 2,200 350 1,850

Network Development (formerly Capital Assistance for

High-Speed Rail Corridors and Intercity Passenger Rail Service) 30,000 50,000 10,000 40,000

High-Speed Rail R&D 30,000 50,000 10,000 40,000

Safety and Operations 3,974 5,454 1,200 4,254

Salaries & Expenses

Salaries & Expenses (R&D) 3,974 5,454 1,200 4,254

Subtotal, Research and Development 69,037 92,604 18,925 73,679

Subtotal, Technology Investment (T) 0 0

Subtotal, Facilities (F) 2,550 2,850

Total, FRA 71,587 95,454 18,925 73,679

166

Exhibit IV-2

Federal Railroad Administration

FY 2012 RD&T Budget Request by DOT Goal

($000)

RD&T Program

FY 2012

Request Safety

Livable

Comm.

State of

Good Repair

Economic

Comp

Environ.

Sustain.

Org.

Excellence

Research and Development

Railroad Research and Development 40,000 29,335 0 5,256 2,647 2,762 0

Track Research 12,600 9,195 0 2,218 1,187 0 0

Track and Structures 5,450 3,815 1,363 272

Track and Train Interaction 3,800 3,420 380

R&D Facilities and Test Equipment 2,850 1,710 855 285

Rail Cooperative Research Program 500 250 250

Equipment and Operating Practices 16,930 12,397 0 1,771 0 2,762 0

Human Factors 3,670 3,670

Rolling Stock and Components 3,000 2,100 900

Hazardous Materials Transportation 1,550 1,395 155

Train Occupant Protection 4,700 4,230 470

Railroad Systems Issues 4,010 1,002 401 2,607

Signals, Train Control and Communication 10,470 7,743 0 1,267 1,460 0 0

Train Control 8,270 6,203 827 1,240

Grade Crossings 2,200 1,540 440 220

Network Development (formerly Capital

Assistance for High-Speed Rail Corridors and

Intercity Passenger Rail Service) 50,000 4,500 9,000 0 21,500 12,500 2,500

High-Speed Rail R&D 50,000 4,500 9,000 0 21,500 12,500 2,500

Safety and Operations 5,454 3,328 0 554 925 647 0

Salaries & Expenses

Salaries & Expenses (R&D) 5,454 3,328 0 554 925 647 0

Subtotal, Administrative Expenses 5,454 3,328 0 554 925 647 0

Subtotal, Research and Development 87,150 32,125 9,000 4,401 23,862 15,262 2,500

Subtotal, Technology Investment (T) 0 0 0 0 0 0 0

Subtotal, Facilities (F) 2,850 1,710 0 855 285 0 0

Total, FRA 95,454 37,163 9,000 5,810 25,072 15,909 2,500

167

U.S. DEPARTMENT OF TRANSPORTATION


Railroad Safety Strategy: FY 2012

February 2011

168


169

CONTENTS

Page Reference

INTRODUCTION .................................................................................................................171

BACKGROUND ...................................................................................................................172

LONG-TERM STRATEGY MEASURES ............................................................................173

RSIA SAFETY GOALS ........................................................................................................174

Goal #1: Reducing the number and rates of accidents, incidents, injuries, and

fatalities involving railroads, including train collisions, derailments,

and human factors. ............................................................................................174

Goal #2: Improving the consistency and effectiveness of enforcement and

compliance programs ........................................................................................181

Goal #3: Improving the identification of high-risk highway-rail grade

crossings and strengthening enforcement and other methods to

increase grade crossing safety ...........................................................................185

Goal #4: Improving research efforts to enhance and promote railroad safety

and performance................................................................................................187

Goal #5: Preventing railroad trespasser accidents, incidents, injuries and

fatalities .............................................................................................................191

Goal #6: Improving the safety of railroad bridges, tunnels, and related

infrastructure to prevent accidents, incidents, injuries, and fatalities

caused by catastrophic failures and other bridge and tunnel failures ...............193

RESOURCES NEEDED .......................................................................................................194

PROGRESS ASSESSMENT .................................................................................................194

CONCLUSION ......................................................................................................................197

170


171

INTRODUCTION

Section 102 of the Rail Safety Improvement Act of 2008 (RSIA) directed the Federal Railroad

Administration (FRA) to develop a Railroad Safety Strategy and submit it at the same time as the

President’s budget. This report’s organization mirrors the legislation language structure.

Section 102 of the RSIA reads as follows:

“SEC. 102. RAILROAD SAFETY STRATEGY

"(a) SAFETY GOALS —In conjunction with existing federally-required and voluntary

strategic planning efforts ongoing at the Department and the Federal Railroad

Administration as of the date of enactment of this Act, the Secretary shall develop a long-

term strategy for improving railroad safety to cover a period of not less than 5 years.

The strategy shall include an annual plan and schedule for achieving, at a minimum, the

following goals:

"(1) Reducing the number and rates of accidents, incidents, injuries, and

fatalities involving railroads including train collisions, derailments, and human

factors.

"(2) Improving the consistency and effectiveness of enforcement and

compliance programs.

"(3) Improving the identification of high-risk highway-rail grade crossings

and strengthening enforcement and other methods to increase grade crossing

safety.

"(4) Improving research efforts to enhance and promote railroad safety and

performance.

"(5) Preventing railroad trespasser accidents, incidents, injuries and

fatalities.

"(6) Improving the safety of railroad bridges, tunnels, and related

infrastructure to prevent accidents, incidents, injuries, and fatalities caused by

catastrophic failures and other bridge and tunnel failures.

"(b) RESOURCE NEEDS.—The strategy and annual plan shall include estimates of

the funds and staff resources needed to accomplish the goals established by subsection

(a). Such estimates shall also include the staff skills and training required for timely and

effective accomplishment of each such goal.

"(c) SUBMISSION WITH THE PRESIDENT’S BUDGET.—The Secretary shall submit the

strategy and annual plan to the Senate Committee on Commerce, Science, and

Transportation and the House of Representatives Committee on Transportation and

Infrastructure at the same time as the President’s budget submission.

"(d) ACHIEVEMENT OF GOALS.—

"(1) PROGRESS ASSESSMENT.—No less frequently than annually, the

Secretary shall assess the progress of the Department toward achieving the

strategic goals described in subsection (a). The Secretary shall identify any

deficiencies in achieving the goals within the strategy and develop and institute

measures to remediate such deficiencies. The Secretary and the Administrator shall

convey their assessment to the employees of the Federal Railroad Administration

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and shall identify any deficiencies that should be remediated before the next

progress assessment.

"(2) REPORT TO CONGRESS.—Beginning in 2009, not later than November 1

of each year, the Secretary shall transmit a report to the Senate Committee on

Commerce, Science, and Transportation and the House of Representatives

Committee on Transportation and Infrastructure on the performance of the Federal

Railroad Administration containing the progress assessment required by paragraph

(1) toward achieving the goals of the railroad safety Strategy and annual plans

under subsection (a).

This report is FRA’s strategy for fiscal year (FY) 2012. FRA will provide an evaluation of its

performance one year from this budget submission.

BACKGROUND

FRA promotes and regulates safety throughout the Nation’s railroad industry. Most of its

regulatory authority is codified under Parts 200 to 299 of Title 49 of the Code of Federal

Regulations (49 CFR 200-299). FRA has numerous enforcement tools under its authority,

including defect and deficiency warnings, civil penalties, compliance and emergency orders,

special notices, and directives.

FRA executes its regulatory and inspection responsibilities through a diverse staff of railroad

safety experts who share their experience with the industry. The staff includes more than 400

inspectors and other safety professionals across the Nation who are assigned to eight regional

offices. FRA safety inspectors specialize in five safety disciplines consisting of Track and

Structures, Signal and Train Control, Motive Power and Equipment (MP&E), Operating

Practices (OP), and Hazardous Materials (HM). In addition, FRA’s field complement includes

program managers for highway-rail grade crossing safety and trespass prevention, bridge

structure specialists, and industrial hygienists.

The railroad industry experienced a significant improvement in safety from calendar year (CY)

2000 through 2009, with the total number of all reportable rail-related accidents and incidents

declining 34 percent (16,919 vs. 11,120, respectively). During this period, train accidents also

fell by 36 percent (2,983 vs. 1,895), casualties (deaths and injuries) dropped 32 percent (12,580

vs. 8,601), and highway-rail grade crossing incidents decreased 45 percent (3,502 vs. 1,924).

These actual number results are all the more impressive because, until the recent economic

decline, they occurred during a period when train-miles increased between 6 and 7 percent

through 2008.

As remarkable as these numbers are, several major freight and passenger train accidents in 2004

and 2005 raised concerns about railroad safety. In addition to several national rail safety

initiatives that FRA has championed since 2005, the agency has also devoted four of its six

safety performance measures to evaluate train accidents under the Government Performance and

Results Act of 1993 (GPRA).

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LONG-TERM STRATEGY MEASURES

FRA believes that the long-term strategy achievements expected from RSIA in Sec. 102 and

other FRA safety efforts are best evaluated using GPRA results. FRA has been using these goals

to measure regional performance and FRA’s overall safety performance since GPRA was

officially implemented at the agency in 2003.1

At this time, FRA’s GPRA goals for FY 2012 through FY 2016 assume FRA staffing increases

of 5 FTE (full-time equivalents)/10 positions for Positive Train Control (PTC) and HM routing

in FY 2011. When additional field staffs are hired, the impact on safety improvements will not

be immediate. Our experience shows to expect at least a one-year lag in safety improvement as a

result of hiring new staff. During this one-year period, new inspectors are being trained to

perform safety enforcement duties.

Increases in headquarters positions focus on ways to achieve safety improvements through

rulemakings, enforcement oversight, and alternative methods such as the Risk Reduction

Program (RRP). RRP looks for ways to improve safety by identifying areas through industry

collaboration that achieve safety results in ways not previously identified.

FRA’s GPRA goals are listed below.2

1: Grade Crossing Incidents

2012 2013 2014 2015 2016

Rate Per Million Train-Miles 3.300 3.100 2.900 2.700 2.500

2: Human Factors-Caused Train Accidents

2012 2013 2014 2015 2016


1 FRA revises its GPRA goals on an annual basis.

2 FRA began developing and tracking safety performance goals under GPRA in the mid-1990s. Time-series models

form the baseline of FRA’s forecasts that help setting the GPRA goals. In addition, impacts from various safety

programs based on cost and benefit analyses are integrated in the safety performance forecasts. Past programs and

initiatives contributed to FRA’s continuing safety improvements. Between FY 2005 and FY 2009, major program

initiatives such as the rail integrity program, bridge standards, the Human Factors Rule, the Train Horn Rule, and

others were major contributors that led to drops in the track-caused accident rate by 25 percent, the human factor-

caused accident rate by 37 percent, and the equipment-caused accident rate by 22 percent.

New regulations and initiatives in the coming years may affect various safety performances differently. New safety

improvements projected through FY 2014 assume an additional 51 FRA inspectors to carry out the mandates of

RSIA. Beyond FY 2014, current safety programs will be considered part of FRA’s baseline and are projected to

have minimal additional impact on track and equipment safety performances. FRA reevaluates and updates GPRA

goals annually when newer safety data are available. As such, future GPRA goals could improve further with new

safety initiatives and additional resources to carry out those initiatives.

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3: Track-Caused Train Accidents

2012 2013 2014 2015 2016


4: Equipment-Caused Train Accidents

2012 2013 2014 2015 2016


5: Signal/Miscellaneous Train Accidents

2012 2013 2014 2015 2016


6: Non-Accident Hazardous Materials Releases

2012 2013 2014 2015 2016


FRA also has an overall performance measure that reports on accidents/incidents per million

train-miles as part of the U.S. Department of Transportation (DOT) Safety Performance Goals.

These goals, like other safety goals, are based on available data for analysis. Programs such as

the National Safety Program Plan (NSPP), the National Inspection Plan (NIP), rulemakings,

RRP, and inspections contribute to achieving these safety goals.

DOT Safety Performance Goal: Rail Accidents/Incidents

2012 2013 2014 2015 2016

Rate Per Million Train-Miles * 16.300 16.050 15.800 15.600 15.400

* This projection assumes that all five of the Automatic Track Inspection Program (ATIP) cars will be in service.

RSIA SAFETY GOALS


fatalities involving railroads, including train collisions, derailments, and

human factors.

National Safety Program Plan (NSPP)

The NSPP is the FRA Office of Railroad Safety’s annual (fiscal year) document designed to

ensure the sound implementation of the National Safety Program, including identification of

recurring and nonrecurring special-emphasis activities for the year. FY 2006 was the first year

that FRA produced a unified NSPP with submissions from all of the safety disciplines, regions,

and Railroad System Oversight Managers (RSOM) for each Class I railroad. The NSPP is issued

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to every employee in the Office of Railroad Safety. Employees are advised that quarterly

assessments of all regional, RSOM, and FRA headquarters initiatives will occur.

The NSPP provides a mechanism for planning recurring activities (e.g., dispatch-center

assessments performed triennially on a rotating basis). At the national level, it identifies

emphasis areas based on data analyses, including interregional initiatives directed at particular

system-level issues of concern for major railroads operating in multiple regions. The NSPP for

FY 2010 integrates safety planning for all elements of the Office of Railroad Safety into a single

document, and fully supports GPRA and DOT goals.

National Inspection Plan (NIP)

In December 2004, the Office of Inspector General recommended that FRA submit to the

Secretary of the Department of Transportation a comprehensive rail safety plan for implementing

a program that, among other things, makes meaningful use of available data on which to focus

inspection activities. In 2005, FRA issued the National Rail Safety Action Plan, which contains

the development and implementation of a new NIP. Under this approach, FRA inspectors focus

their efforts on locations that, according to data-driven models, are likely to have safety

problems.

The purpose of the NIP is to optimize FRA’s ability to reduce the rates of various types of train

accidents, releases of hazardous materials, and casualties from human factor errors. The plan

provides guidance to each regional office on how its inspectors, who each specialize in one of

the five inspection disciplines, should divide their work by railroad and by State.

The NIP is a process that involves three steps. In the first step, FRA headquarters produces an

initial baseline plan for each of the agency’s eight regions. In the second step, the Regional

Administrators may adjust the goals for their respective regions based on local knowledge and

emerging issues. In the third step, once the fiscal year starts, FRA monitors how the regions are

meeting their inspection goals. The NIP is implemented through a Web-based interface that

allows FRA headquarters and the regions to monitor progress in field inspections during a fiscal

year.

Dashboard

In 2008, FRA deployed a Dashboard tool on its secure Web site to provide its leadership,

regional management, and inspection workforce multiple views of the agency’s current and

historical enforcement efforts. Inspection data from the field is compiled in near-real time

fashion and a nightly process creates the data stores to display detail and aggregated data

graphically (bar graphs and gauges). The Dashboard is also used as an effective performance

management tool. It maintains over 15 different metrics (e.g., inspection days, defect ratios,

violations) at the inspector, discipline, and regional levels. Finally, the Dashboard serves as a

central launch pad for several complex query and report programs from the main secure Web site

that have been integrated into the output displays and allows users to ―drill down‖ when

additional detail is required. It is a decision-support tool in managing limited inspection

resources when scheduling enforcement activities such as focused inspections and audits. It also

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allows FRA headquarters managers to monitor inspection activities in the regions to ensure that

enforcement and compliance policy is applied uniformly.

Additionally, using the Dashboard ―cube,‖ an online analytical processing data-mining tool,

headquarters and regional staffers are able to view inspections summarized by a variety of

categories (e.g., inspector activity) and correlate this with information on what types of accidents

and incidents are occurring in the region. This allows headquarters and the regions to jointly

address where the safety hazards are being identified and plan inspection activities accordingly.

The regional managers also use the data to ensure that each discipline and each inspector is

maintaining the goals and to address outliers in the data.

Positive Train Control (PTC)

FRA is continuing to support national deployment of advanced signal and train control

technology to improve the safety, security, and efficiency of freight, intercity passenger, and

commuter rail service through regulatory reform, project safety oversight, technology

development, review and approval of PTC Implementation Plans, and financial assistance. PTC

refers to processor-based/communication-based technology that is capable of preventing train-to-

train collisions, overspeed derailments, incursion into established roadway worker work zone

limits, and the movement of a train through a switch not properly lined. PTC systems vary

widely in complexity and sophistication based on the level of automation and functionality they

implement, the system architecture utilized, and the degree of train control they are capable of

assuming. Current PTC system designs serve as either non-vital or vital safety overlays for

existing methods of rail operations, or as stand-alone systems that provide the functionality

necessary to implement new methods of rail operations. PTC technology also has the potential

capability to limit adverse consequences of events such as hijackings and runaways that are of

special concern in an era of heightened security. As a result of the requirements of the RSIA and

with the assistance of the Railroad Safety Advisory Committee (RSAC) PTC Working Group,

FRA published a new Federal regulation on January 15, 2010, addressing the statutory mandate

for PTC. Pursuant to the requirements of the rule, 41 railroads submitted plans for implementing

PTC as required. During CY 2010, FRA reviewed each plan and provided written notification of

its decision regarding approval, approval with conditions, or disapproval. Since then, FRA has

received plans that were revised and corrected. The review and approval process of PTC plans

was completed in CY 2010.

Thirty-six railroads will be implementing PTC on their property (with the other 5 having been

deemed compliant with the allowable exceptions from having to install PTC as written into the

rule). The timelines for system implementation are as individually presented in each respective

PTC Implementation Plan. For most of the 36 railroads, pilot testing of the systems will be

completed by the end of CY 2013. These same railroads will be completing full implementation

during CY 2014 and CY 2015. According to the congressional mandate, full implementation

must be completed by the end of CY 2015. The scope of deployment (approximately one-half of

all route miles of track in the United States), and the statutory deadline of December 31, 2015,

will require railroads to begin deployment prior to completion of their pilot programs.

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Rail Route Analysis Requirements for Security-Sensitive Hazardous Materials

On November 25, 2008, the Pipeline and Hazardous Materials Safety Administration (PHMSA),

in close consultation with FRA, published a final rule implementing the 9/11 Commission Act of

2007, requiring DOT to issue a final rule that would require rail carriers of security-sensitive

hazardous materials to ―select the safest and most secure route to be used in transporting‖ those

materials, based on the rail carrier’s analysis of the safety and security risks on primary and

alternate transportation routes. FRA is administering the PHMSA rule and may force a carrier to

use routes other than those selected if it finds that: (1) the carrier failed to conduct an adequate

analysis, or (2) the carrier failed to select the safest and most secure route. This action would

only be taken after consulting with PHMSA, the Transportation Security Administration (TSA),

and the Surface Transportation Board.

PHMSA’s rail routing rule requires rail carriers of security-sensitive hazardous materials to

compile annually traffic data on shipments of these materials. The Department of Homeland

Security (DHS) and DOT have determined that security-sensitive materials are bulk shipments of

poison by inhalation materials; certain explosive materials that pose a hazard of mass explosion,

fragment projectile or fire hazard; and certain high-level radioactive material shipments.

Railroads are required to annually analyze and assess the safety and security of the routes used to

transport these security-sensitive materials and all available practicable alternative routes over

which they have authority to operate, and to solicit input from State, local and tribal officials

regarding security risks to high-consequence targets along or in proximity to the routes. The

route assessment must consider a minimum of 27 risk factors, including rail infrastructure

characteristics along the route, proximity to iconic targets, environmentally sensitive or

significant areas, population densities, and emergency response capabilities. After considering

mitigation measures to reduce safety and security risks, the railroads are to select the practicable

routes that pose the least overall safety and security risks.

Using funding from DHS, the Railroad Research Foundation developed a risk management tool

that had assisted rail carriers in performing the safety and security analyses mandated by RSIA.

The Rail Corridor Risk Management System (RCRMS), a Web-based interactive tool, enables

rail carriers to identify route characteristics using the 27 factors and to weigh safety and security

impacts. RCRMS provides a standardized, consistent approach to the process of selecting the

rail routes posing the least overall safety and security risks for security-sensitive hazardous

materials.

In FY 2010, FRA created a Routing Rule Compliance Team (Team) consisting of members from

FRA’s Office of Railroad Safety, Office of Policy, and Office of Chief Counsel, as well as

representatives from PHMSA and TSA. The purpose of this Team is to verify that carriers are in

compliance with this new regulation. The Team met with all Class I carriers, who briefed FRA

on their routing plan. This was followed by a compliance inspection at each carrier’s facilities.

During the inspection, the Team examined the carrier’s decision making process for selecting

routes to ensure that (1) the carrier conducted an adequate analysis of the route, and (2) the

carrier selected the safest and most secure route, given economic viability. Class II and Class III

carriers that transport security sensitive hazardous material are required to follow the Routing

Rule Regulation as well. The American Short Line and Regional Railroad briefed FRA in

August of 2010 regarding Class II and III carriers. This process will be repeated annually.

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Rulemakings

Railroad Safety Advisory Committee (RSAC)

Through its RSAC, FRA works collaboratively with Government entities, railroads, unions, trade

associations, suppliers, and other stakeholders to fashion mutually satisfactory solutions on

safety regulatory issues. Recent RSAC efforts include rules regarding passenger train

emergency systems, hours of service, bridge safety standards, and PTC. Its schedule for 2010

included passenger equipment crashworthiness, medical standards for safety-critical personnel,

hours of service recordkeeping for passenger trains, critical incident stress plans, and minimum

training standards and plans for each class or craft of safety-related employee.

FRA has worked to implement several other new regulations through the traditional rulemaking

process. These recent rulemakings include restrictions on use of electronic/electrical devices

(cell phone and texting restrictions), emergency notification systems for highway-rail grade

crossings, and modifications of FRA’s drug and alcohol regulation to include maintenance-of-

way employees. Finally, FRA has also begun traditional rulemakings that establish (1) minimum

standards for employee sleeping quarters to ensure that the sleeping quarters are clean, safe, and

sanitary, give employees and individuals an opportunity for rest free from the interruptions

caused by noise under the control of the carrier, and provide indoor toilet facilities, potable

water, and other features to protect the health of employee, as specified in Section 420 of RSIA;

and (2) standards requiring the railroads to provide emergency escape breathing apparatus

suitable to provide head and neck coverage with respiratory protection for all crew members in

locomotive cabs on freight trains carrying hazardous materials that would pose an inhalation

hazard in the event of release, as specified in Section 413 of RSIA.

Hours of Service Recordkeeping for Passenger Trains

The RSAC accepted this task on April 2, 2009, to provide advice regarding development of

implementing regulations for the hours of service of operating employees of commuter and

intercity passenger railroads under the RSIA. This RSAC Working Group was tasked to review

available data concerning the effects of fatigue on the performance of subject employees and

consider the role of fatigue prevention in determining maximum hours of service. The group has

also been tasked to consider the potential for alternative approaches to hours of service using

available tools for evaluating the impact of various crew schedules and determine the effect of

alternative approaches on the availability of employees to support passenger service. This RSAC

Working Group met for six multi-day meetings during 2009 and 2010. FRA will be publishing a

notice of proposed rulemaking (NPRM) during FY 2011.

Conductor Certification

The RSAC accepted this task on December 10, 2008, to develop regulations for certification of

railroad conductors, as required by Section 402 of RSIA. The RSAC Working Group met for six

multi-day meetings over a period of several months. After a series of detailed discussions, the

RSAC Working Group achieved consensus on a draft proposed rule in January 2010. The full

RSAC approved and recommended its consensus on March 18, 2010.

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The resulting NPRM in this nonsignificant rulemaking is currently in final coordination, and is

expected to be published in late September 2010. FRA’s proposed regulation for conductor

certification is intended to ensure that only certified persons serve as train conductors, and it

accomplishes this by establishing Federal requirements for railroads to have conductor

certification programs. These programs must meet or exceed FRA’s minimum standards for the

eligibility, training, testing, certification and monitoring of persons who serve as conductors.

Included in the eligibility determination for new or recertifying conductors are vision and

hearing acuity tests. In addition, for these individuals, the consideration of prior conduct as a

motor vehicle operator; substance abuse and alcohol drug rules compliance; and prior safety

conduct at a different railroad, if applicable. FRA’s proposed regulation also prescribes

minimum standards for revocation of certification and the dispute resolution procedures for

appealing certification denial or revocation.

Minimum Training Standards and Plans

The RSAC accepted this task on March 18, 2010, to establish minimum training standards for

each class and craft of safety-related railroad employee and their railroad contractor and

subcontractor equivalents, as required by RSIA. This group has been tasked to assist FRA in

developing regulations responsive to the legislative mandate, while ensuring generally accepted

principles of adult learning are employed in training/development and delivery; determine a

reasonable method of submission and FRA review of training plans which takes human resource

limitations into account; and establish reasonable oversight criteria to ensure training plans are

effective, using the operational tests and inspections requirements in 49 CFR Part 217 as a

model. This RSAC Working Group met multiple times in 2010 and anticipates publishing an

NPRM in CY 2011.

Risk Reduction Program (RRP)

The RRP is an FRA-led, industry wide initiative to reduce accidents and injuries, and build

strong safety cultures by developing innovative methods, processes, and technologies to identify

and correct individual and systemic contributing factors using ―upstream‖ predictive data. RRP

will incorporate developing knowledge of precursors to actual accidents, confidential reporting,

effective problem analysis, and corrective actions. The adoption of new non-regulatory

approaches creates the opportunity for accelerated improvement but does not supersede current

regulatory approaches. Since FRA initiated this program on its own, the RSIA has mandated it

and made it mandatory by October 2012.

FRA envisions a wide variety of projects that could fit under the RRP umbrella. Some examples

include the close-call reporting systems, peer observation programs, management development

systems, and the Collision Hazard Analysis currently in place on some commuter railroads. In

addition, use of the Track Quality Index or innovative use of wayside equipment monitors and

sensors for predictive maintenance or capital investment might qualify as RRP programs. In

fact, any innovative use of predictive data could be seen as a potential pilot.

In October 2009, FRA’s RRP Division provided grant funds to several projects submitted by

Amtrak and Class I freight railroads. The projects listed below were chosen for their likeliness

to improve safety, reduce risk, and applicability for collaborative transfer to other railroads.

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Safety Culture Change (Amtrak)

Reduce Grade Crossing Fatalities (Amtrak)

Cross-functional Risk Reduction (Amtrak)

Track Substructure Risk Mitigation and Reliability Improvement Project (Amtrak)

Behavioral Accident Prevention Process (PRIDE) (BNSF)

Unattended Track Geometry Inspection (Soo Line Railroad)

Continuous High-Speed Rail Test (CSXT)

Broken Rail Risk Reduction (NS)

Fatigue Risk Management System (UP)

Before September 2010, FRA selected from among these projects those that showed the greatest

ability to affect risk levels, and provided additional grant funding.

In addition to the voluntary programs, by October 2012, FRA will promulgate a regulation

requiring certain railroads to develop and implement risk reduction programs, and to file RRP

plans with the FRA. Once the regulation is in effect, FRA will approve the plans and will

monitor railroads’ compliance with the plans to ensure that railroads proactively identify and

address risks. Given that this program is in its infancy and will not be an industry wide

requirement for several years, the ability to estimate or predict the impacts on future

improvements on safety are difficult to accomplish. In addition, given that this program will not

be required industry wide, it might take several years for the benefits to materialize. To initiate

the process for developing a regulation for the risk reduction programs, FRA published an

Advance Notice of Proposed Rulemaking in CY 2010.

Passenger Rail Division

In 2009, FRA formally established the Passenger Rail Division (PRD) to support the RSIA

initiative for the development of passenger rail programs throughout the United States by

October 16, 2012, and to support the American Recovery and Reinvestment Act of 2009

(ARRA) initiative for high-speed rail (HSR) and commuter/passenger rail development. PRD is

coordinating and maintaining FRA safety policies, regulations, and guidance for all matters

related to HSR, intercity rail, commuter rail, and shared-use rail operations.

The primary focus of PRD is to develop new Federal standards for rail passenger equipment,

training, and operations. The program will also help to evaluate proposed rail operations to

determine if they are safe and whether the proposed equipment meets Federal standards. This

Division concentrates on the many issues associated with the selection, implementation, and

evaluation of passenger rail projects pertaining to System Safety and Emergency Response

Plans. PRD will also address the many issues associated with the selection, implementation, and

evaluation of ―new start‖ railroads and the associated planning and determination of compliance

with existing Federal regulations. PRD is currently working with new start railroads in Florida,

Colorado, California, Texas, Michigan, Minnesota, North Carolina, New Jersey, and New York.

The Division’s responsibilities also include a focus on pilot projects that involve application of

new technologies to improve safety.

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Some of the most important work administered by PRD is passenger rail system safety. PRD

directs an outreach program to provide passenger railroads training and information on system

safety techniques. PRD staff also collaborates with the American Public Transportation

Association to conduct system safety audits on passenger rail operations. System safety for

passenger rail operations is currently a voluntary program. PRD staff, however, is working with

an RSAC group to develop a System Safety Regulation that will require all passenger railroads

to develop and implement System Safety Programs (SSP) that satisfy the RSIA requirements for

a risk reduction program.

System Safety uses innovative hazard management techniques to proactively identify and

address safety issues before accidents occur. The use of System Safety supports the FRA

Railroad Safety Strategy in that the hazard management techniques can reduce the number,

frequency, and severity of all passenger rail related accidents, injuries, and fatalities, including

those related to trespassing and highway-rail grade crossings. The PRD goals include issuance

of an NPRM on System Safety in early 2012.

The Division will continue to provide training and information on system safety and FRA

requirements to all passenger rail new starts. The PRD goal is for all passenger rail new starts to

have adequate training and information to establish their own System Safety Plans.

Another important initiative for the PRD is to provide program management for the development

of HSR standards, regulations, and rules of particular applicability, and to address HSR mandates

contained in RSIA and ARRA for HSR corridors. FRA regulations for HSR currently support

maximum train speeds of 150 miles per hour (mph). The HSR vision contained in RSIA and

ARRA contemplates train speeds of up to 220 mph.

The PRD is currently working with three HSR operators—Florida HSR, DesertXpress, and

California HSR—to identify appropriate safety requirements for those applications. The PRD

expects to have requirements fully defined for Florida HSR, DesertXpress, and California HSR

by the end of CY 2011. However, identification and funding of additional projects in the coming

year may require the PRD to both broaden and focus its efforts to address the variety of projects

that might eventually be funded.



Industrial Hygiene

The Industrial Hygiene Division has a dual role within FRA. The Division is responsible for

performing activities in support of Administration enforcement in the railroad industry as well as

for implementing internal Occupational Safety and Health Administration (OSHA) compliance

programs in safety and health for the benefit of those who work in the railroad industry.

In regulatory enforcement, the Division has primary responsibility for ensuring compliance with

the regulations governing occupational noise exposures in locomotive cabs and exposures to

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contaminants in the cabs of maintenance-of-way equipment. As the occupational noise exposure

regulation for the locomotive cab occupants is fully implemented, more enforcement efforts are

expected to take place there. The Division supports the MP&E, Track, OP, HM, and Signal

disciplines in the areas of the use of fall protection for railroad bridge work, diesel exhaust in

locomotive cabs, and non-occupational noise rules, in addition to Environmental Protection

Agency (EPA) noise rules from 40 CFR Part 201 under 49 CFR Part 210 and 49 CFR

Section 229.129, Audible Warning Device.

The Division also has primary responsibility for FRA internal safety and health compliance

programs including blood borne pathogens, confined space entry, hearing conservation, radiation

protection, and injury and illness reporting. The Division develops the structure of the programs,

develops and provides the training associated with them, provides guidance for compliance, and

maintains all necessary records.

Discipline-Specific Technical Training

The Safety Improvement and Development Team (SIDT) is staffed with discipline-specific

trainers that train inspectors throughout the year on FRA safety regulations. The primary

mission of the SIDT is to manage the Office of Railroad Safety’s Technical Training Program

for the 600 Federal and participating State railroad safety inspectors and specialists of the five

technical disciplines. To accomplish this mission, the team designs, develops, and delivers

specialized internal courses, and administers contract training from external sources as

necessary. A test is given before and after each class to confirm that inspectors are learning

skills to effectively enforce safety regulations. Classroom training using established training

modules includes enforcement directives from newly issued technical bulletins, enforcement

manuals, and rule modifications. This focus improves uniformity of enforcement nationwide and

is a way of determining that FRA inspectors meet agency qualification requirements.

Technical training is based on organizational needs and is therefore considered mandatory.

Various types of analyses are performed to determine the organizational needs, including

feedback from headquarters, the regions, and the inspectors. On average, the team manages

approximately 45 classes in 22 different courses of study each year. SIDT also develops and

delivers general training to all Federal and State employees who may be assigned to perform

accident investigations or write specialized reports, and to meet special agency needs such as

steam locomotive inspections, using radar to monitor train speeds, and fatigue-related

assessments for safety-related railroad employees. On average, new inspectors attend seven

weeks of classroom training during their first two years of employment, and all inspectors and

regional specialists attend at least 1 week of classroom training per year.

The SIDT also develops and administers on-the-job training standards for new railroad safety

inspectors and inspector trainees. These standards, based on a model used by the Department of

Defense, are specific to FRA inspection tasks. They are designed to ensure that the tasks are

fully described, that conditions for learning transfer are present, and that standards of proficiency

are met before an inspector is deemed qualified.

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FRA held discipline-specific training conferences focused on uniformity of enforcement for all

five disciplines in FY 2010. The guidance provided reduces variations among inspectors in their

enforcement of Federal safety regulations.

Technical Bulletins

Technical bulletins are internal documents (usually memoranda) issued to FRA’s regional

personnel by FRA’s Director for Safety Assurance and Compliance. The bulletins provide

interpretive guidance and they help clarify specific issues under the rail safety regulations and

other safety issues. Technical bulletins improve the awareness of inspectors and industry

persons in terms of what is expected from them when enforcing or complying with existing

safety regulations. The intermediate outcome is more uniform compliance, which improves the

quality of compliance and data used to measure achievement of safety goals. Newly produced

bulletins are immediately distributed to inspectors by email, added to REG-Trieve disks every

quarter (which are distributed to inspectors for easy access to these documents on their laptop

computers), and incorporated into training classes.

Compliance Manuals

The Office of Railroad Safety uses six manuals to establish and clarify organizational

expectations for railroad safety inspectors, safety specialists, and regional managers. All of the

manuals are primary source documents for both classroom and on-the-job training.

The General Manual describes the organization of DOT, of FRA generally, and of the Office of

Railroad Safety specifically. This manual includes step-by-step instructions that regions and

inspectors must use when performing accident investigations, clarifies general expectations for

use of enforcement and other compliance tools, explains in general terms other safety

mechanisms and investigations the Office of Railroad Safety uses to ensure a higher level of

safety in the United States, and provides interviewing guidance.

The Office of Railroad Safety also publishes compliance manuals on the FRA public Web site

for the five railroad safety inspection disciplines. These manuals establish organizational

expectations for inspection tasks, establish specialized investigation requirements, and explain

application of FRA safety regulations.

Performance Evaluations

Performance evaluations for regional administrators include GPRA safety goals. Quarterly

progress reports are provided to regions showing their progress toward their share of annual

national goals. The intermediate outcome provides a means for evaluating what the region is

doing to improve safety and a way to check on what their region is doing to succeed at

improving safety.

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Rail Integrity

The Rail Integrity Group within the Track and Structures Division was established to provide

FRA oversight on rail maintenance programs. The Rail Integrity Group maintains FRA safety

policies and provides guidance for all rail-related issues as determined by 49 CFR Part 213,

Track Safety Standards; including non-destructive rail inspection programs, defective rail

remedial action, rail inspection frequencies, and rail inspection records. The group is the

primary representative for the Office of Railroad Safety and other FRA divisions concerning rail-

related incidents that impact railway safety.

The purpose of the Rail Integrity Group is to provide expert advice and assistance to FRA

headquarters, regional track safety staff and Regional Administrators on safety issues relating to

management, inspection, and maintenance of railroad rail; railroad safety issues related to rail

and components; and issues concerning rail defect development, rail failure, and rail-caused train

accidents.

The Rail Integrity Group analyzes the current non-destructive rail inspection programs and

processes, rail maintenance programs, and make recommendations on those analyses. They

perform onsite inspections, investigations, and/or evaluations to determine the effectiveness of

railroad safety programs that address the inspection, maintenance, and replacement of rail. They

also provide oversight into the capabilities of the various non-destructive detection systems, the

training and experience of the flaw detector car operators, and the accuracy of the defect

verification process utilized by the test car operator.

The Rail Integrity Group is actively engaged in training the regional and State track inspectors

annually through the FRA SIDT Training Program and has developed a class that provides

specific training to the inspectors concerning the rail inspection processes, rail inspection

technologies, rail defect development and identification, and rail manufacturing. They also

oversee the FRA review and acceptance process concerning the recently required 49 CFR

Part 213 modifications to Railroad Continuous Welded Rail policies and procedures.

Automated Track Inspection Program (ATIP)

In the field of track geometry technology, FRA currently oversees a fleet of five track geometry

rail cars: three cars under ATIP and two cars under FRA’s Office of Railroad Policy and

Development (RPD). These advanced, specially designed cars provide accurate track geometry

information and intelligence data to assess compliance with CFR Part 213, Federal Track Safety

Standards. Since 2000, the ATIP fleet has inspected 409,853 miles3 of the U.S. rail network over

a span of 2,610 days. Collectively, the cars average about 157 miles per day out of

approximately 140,000 miles of main and siding track, with major priorities given to passenger,

hazardous material (hazmat), and defense-related routes. FRA’s two newest full-production

geometry cars came online in 2007. Combined with a third full-time production geometry car,

the ATIP goal is to increase survey miles to approximately 100,000 miles per year. Since the

addition of three cars, ATIP has achieved a 359 percent increase in inspection frequency over

previous years.

3 Source: Track Data Management System

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The track data collected under ATIP is used by FRA’s railroad inspectors and by railroads to

ensure track safety and to assess track safety trends within the industry. The railroads often use

ATIP data as a way of checking quality assurance on their inspection and maintenance. To

facilitate use of the collected data, ATIP will originate and distribute quarterly survey reports to

agency and railroad managers to promote consistent application. ATIP will place additional

emphasis on Amtrak and commuter routes to promote passenger safety. To support this goal,

ATIP will identify track segment locations based on quality index for additional attention by

ATIP, regions, and railroads.


crossings and strengthening enforcement and other methods to increase grade

crossing safety.

During the past 4 calendar years for which complete data is available, grade crossing collisions

have decreased 34.6 percent, from 2,941 in 2006 to 1,924 in 2009. Casualties have likewise

declined, with fatalities and injuries down 33.1 percent and 34.1 percent, respectively. While

these are encouraging trends, the number of accidents and casualties remains a concern for FRA.

FRA will promote and enhance public safety over the next 5 years by reducing rail-related deaths

and injuries due to collisions at highway-rail grade crossings. This will be achieved by using

additional public outreach and educational programs and increasing law enforcement

partnerships.

During the 5-year period, FRA will partner with national organizations (e.g., Operation

Lifesaver, Inc. (OLI)), the Federal Motor Carrier Safety Administration (FMCSA), the Federal

Highway Administration (FHWA), the National Highway Traffic Safety Administration

(NHTSA), and non-Federal law enforcement agencies to increase awareness and enforcement of

highway-rail grade crossing violations. In 1972, when OLI began, there were approximately

12,000 collisions between trains and motor vehicles annually. On August 31, 2010, the NTSB

commended OLI as a leader in reducing highway-rail grade crossing accidents. By 2009, the

most recent year for which preliminary statistics are available, the number of train/motor vehicle

collisions had been reduced by approximately 84 percent from the 1972 level to 1,924. The

following briefly describes some of the organizations and how FRA will work with them:

ORGANIZATION DESCRIPTION AND FRA ACTIVITIES

OLI A nonprofit, international, continuing public education program first established in

1972 to end collisions, deaths, and injuries at places where roadways cross train tracks,

and on railroad rights-of-way. FRA will provide funding and assistance in program

development.

FMCSA Focuses on reducing crashes, injuries, and fatalities involving large trucks and buses.

FRA will join forces with FMCSA outreach efforts and activities to prevent collisions

at highway-rail grade crossings. FRA and FMCSA will provide assistance to OLI as it

develops a sophisticated web-based, e-learning tool to provide crossing safety training

to drivers of commercial motor vehicles.

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Law Enforcement Increases partnerships between FRA and law enforcement through FRA’s Law

Enforcement Liaison Program. In addition, works with the National Sheriffs’

Association and the International Chiefs of Police Association to foster a better

relationship with law enforcement. FRA’s Law Enforcement Liaison Program uses

active and retired law officers to work with local law enforcement agencies to stress the

importance of enforcement in the prevention of crossing collisions.

FHWA, NHTSA FRA will continue to work with these agencies and FMCSA to encourage

Departmental advocacy for improving crossing safety. FRA is a member of the

Department’s Intelligent Transportation Systems Management Council to facilitate the

inclusion of crossing safety into the development of IntelliDrive.

Previously submitted and completed:

Updated the Compilation of State Laws and Regulations Affecting Highway-Rail Grade

Crossings.

Issued a final rule of particular applicability that identifies the 10 States with the most

collisions over the past 3 years and required them to develop State action plans with

specific solutions for improving safety at highway-rail grade crossings.

Prior to FY 2012, FRA will have:

Worked with FRA’s Office of Chief Counsel to update model legislation for highway-rail

grade crossing violations.

Issued a rule that requires each railroad carrier to establish and maintain a toll-free

telephone service for rights-of-way over which it dispatches trains for the reporting of

emergencies or other problems.

Provided two grant programs (assuming funding is provided as authorized) for States to

improve crossing safety. One grant will be for enhanced public education and

enforcement programs to reduce crossing collisions and reduce trespassing. The other

grant will provide priority funding for crossing safety improvements (e.g., signals, gates,

four-quadrant gates, medians, traffic signals, lighting, signs, and crossing surfaces).

These programs will continue through FY 2013.

In FY 2012, FRA will:

1. Revise the DOT Crossing Inventory Form FRA F 6180.71 to include new fields that will

enhance the ability of States, railroads, FRA, and others to evaluate safety at crossings.

FRA anticipates that a rulemaking will be necessary for the new form and accompanying

guides.

2. Explore issuing a rulemaking mandating the periodic updating of the Inventory by both

railroads and States, per the RSIA.

3. Issue rules or establish policy and guidance on responsibility for safety at private

crossings. This is an action identified in the 2004 Secretary’s Action Plan and a

continuation of efforts began in 2006.

4. Update the Compilation of State Laws and Regulations Affecting Highway-Rail Grade

Crossings. This publication compiles the existing State laws concerning highway-rail

grade crossings and will be made available to the public.

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1. Research the risk reduction associated with commonly used Alternative Safety Measures

in quiet zones (e.g., escape medians) to determine appropriate standard effectiveness

rates. This study will potentially expand the approved Supplementary Safety Measures

while eliminating the cumbersome review process of Alternative Safety Measures.

2. FRA’s Office of Chief Counsel will work with Office of Railroad Safety to review and

revise the model State law on crossing violations compiled in FY 2012 for highway-rail

grade crossing violations, which was issued on January 7, 2011. The RSIA requires FRA

to update the model State law periodically.


1. Conduct a study determining the effectiveness of the new Manual on Uniform Traffic

Control Devices requirement for all passive crossings to be equipped with either stop or

yield signs.


1. Conduct a study accessing the impact of quiet zones on crossing safety.


1. Analyze and evaluate highway-rail grade crossing treatments being installed on higher-

speed rail crossings (80 mph to 110 mph).

2. Evaluate existing and potential practices for incorporating highway-rail grade crossing

safety into IntelliDrive (ITS).


and performance.

FRA Research and Development

The primary goals of the FRA research and development (R&D) program are to enhance railroad

safety for conventional rail and to support the development and deployment of safe high-speed

rail operations. FRA R&D assists in providing the foundation of facts upon which the safety

assurance process is based. In order to improve the effectiveness of the FRA R&D program,

FRA has:

Implemented a process for selecting areas of investigation, with the highest priority given

to activities that are most likely to reduce risk while improving performance.

Expanded our cooperative research programs, both in conventional and high-speed rail,

to ensure stakeholder support and ensure the maximum benefit at the earliest possible

time.

Improved alignment of our safety technology R&D with those of the industry

stakeholders to speed results and better ensure adoption.

Expanded the use of technology demonstrations and cooperative pilot programs to refine

technology and develop procedures and recommended practice for its use.

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Implemented a process to track the adoption of FRA-sponsored safety technologies,

assess the real-world impact on safety and performance, and provide feedback for R&D

process improvement.

The process for selecting and evaluating R&D projects has been enhanced by adding additional

―gates‖ for evaluation as safety technology progresses. This helps ensure the early identification

of the most promising technologies and the timely termination of R&D activities, which no

longer appear promising. An annual review of the entire research program is conducted by the

independent Transportation Research Board. Once again, this review helps ensure the highest

priorities are given to areas of investigation that have the greatest potential for improving safety

and performance. Priorities for project selection include areas that present significant safety

risks or unacceptable safety trends, where technology is most likely to have a positive impact on

both safety and performance, and where there is a clear path to real-world implementation.

The R&D project evaluation and selection process has been used to identify those projects that

have the potential for significant safety impact, a positive impact on performance, and

appropriate technology available. For those projects, selected emphasis is placed on producing

maximum possible real-world impacts at the earliest possible time. To accomplish this, the

Office of Research and Development (OR&D) seeks to establish the partnerships with

appropriate stakeholders (including railroads, rail labor, suppliers, and technology providers)

early in the life of the project. Emphasis will also be placed on conducting cost-benefit analyses

for emerging safety technologies to ensure the likelihood for adoption by the industry. This

minimizes the time between a successful R&D ―proof of concept‖ and the application in the

field. Close collaboration with Office of Railroad Safety guarantees early identification and

remediation of potential regulatory barriers to innovation.

FRA’s OR&D has expanded the use of targeted grants and cooperative agreements involving

both railroads and technology providers to provide a fast start to establish stakeholder buy-in,

and demonstrated real-world impact at the earliest possible time.

Key R&D results anticipated for FY 2012 include:

Fatigue–A report on the fatigue status of the US railroad industry will be published. This

report will be a baseline for future examinations of industry fatigue post-RSIA. It will

generate estimates of conditional probabilities of accidents given a level of fatigue based

on the data collected in the Fatigue Avoidance Scheduling Tool validation study. Risk

estimates (risk = probability x $) will be generated based on an economic analysis that

resulted from the validation study.

Locomotive Cab Displays and Controls–A report will be published documenting the

net safety and performance impact achieved by the addition of advanced displays and

controls for locomotive crews, along with guidance for their design

PTC–Produce recommendation for PTC interoperability standards, which includes cab

design layout, Edge Messaging Protocol, Advanced Message Queuing Protocol, Class C

peer-to-peer messaging, Class D multicast messaging, and Locomotive Integration

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Gateway. Produce deployable advanced braking algorithm to enable precision braking.

Complete the 220 MHz radio development for PTC data communication. Complete the

PTC-compatible Employee In Charge Portable Terminal development to enhance

wayside worker safety.

Rail Integrity–Pilot demonstrations and evaluations of laser-based ultrasonic rail defect

inspection technology will be used to develop recommendations for procedures, industry

recommended practices, and standards for their application to safety assurance.

Track Geometry–Development of recommended practices and recommended safety

standards for the use of autonomous track geometry inspection technology.

Track Buckling Prevention–Development and implementation of industry

recommended practice for deployment of rail temperature prediction technology to better

prevent track buckling derailments.

Improved Hazardous Material Tank Car Designs–Development of advanced test

criteria for evaluating the effectiveness of new hazardous material tank car designs.

Improved Hazardous Material Car Inspection–Evaluation of improved non-

destructive tank car inspection techniques will support the development of improved

industry recommended practice and Federal safety regulations.

Automated Wayside Vehicle Inspection–Pilot demonstrations and analyses will be

conducted to demonstrate and quantify the safety and performance benefits of automated

wayside inspection systems. The program will focus on consistency of data, accurate

interpretation of data results, and comparison against current regulations and inspection

requirements. Procedures, recommended practices, and safety standards for their use will

be developed as appropriate. Analyses will be conducted of emerging technologies in the

area of machine vision (i.e., laser, infrared, etc.) sensors. This project will help validate

the feasibility of using such systems in service operations, and explore potential

integration of data from these systems and other sensor types. The program will focus on

understanding the limits of the technology and documenting sensor accuracy and

reliability, and it will propose optimal uses for the technology along the national railroad

network.

High-Speed Rail

Fostering the development of HSR in the United States has been an important part of FRA’s

work since its creation in 1967. During the 1980s and 1990s, FRA played a central role in

managing and facilitating the growth of high-speed service on the Northeast Corridor. Acting in

response to the Intermodal Surface Transportation Efficiency Act of 1991, FRA began the formal

process of designating HSR corridors for future development and providing limited funding for

corridor improvements primarily directed at safety. With the passage of the ARRA, which

provided $8 billion in capital assistance for HSR corridors and intercity passenger rail service,

and following President Obama’s announcement of a strategic plan for high-speed rail (―Vision

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for High-Speed Rail in America‖), FRA now takes on the important work of helping to make

HSR a reality in markets across the Nation.

On June 17, 2009, FRA’s Administrator issued a Notice of Funding Availability and interim

program guidance for the HSR Passenger Rail Program. The guidance identified transportation

safety and safety planning as evaluation criteria for merit consideration of proposed projects and

programs. The strategy described how FRA will provide specificity and additional safety

guidance for development of HSR systems.

On January 28, 2010, President Obama announced the first recipients to receive grant funding

under the High-Speed Intercity Passenger Rail (HSIPR) Program. This first round of selections

under the HSIPR Program represents a down payment on the President’s vision of a passenger

rail network that will help address the Nation’s 21st

century transportation challenges.

The HSIPR Program has generated enormous interest and excitement across the country. FRA

received 259 grant applications from 37 States and the District of Columbia requesting nearly

$57 billion in funding. In total, 82 applications from 31 States were selected for funding.

FRA is working with the California High-Speed Rail Authority to administer grants for the

creation of a new HSR system operated predominantly on grade-separated, dedicated tracks with

a top design speed of up to 250 mph and an operating speed of up to 220 mph. Grants include

$2.23 billion from ARRA for construction of an initial section in the Central Valley. The 800-

mile, statewide program will provide reliable, high-speed electrified train service between the

Bay Area, the Central Valley, Sacramento, and Southern California, providing an express travel

time between Los Angeles and San Francisco of less than 2 hours 40 minutes. Phase I calls for a

520-mile system connecting Anaheim and Los Angeles through the Central Valley to San

Francisco by 2020; Phase II would extend the system north to Sacramento and south to San

Diego by 2026. FRA and the Authority have been working to plan and design this system for

over a decade.

FRA is also working with the Florida Department of Transportation to administer a grant for

$1.25 billion from ARRA toward the creation of a new high-speed rail corridor that connects

Tampa Bay, Orlando, Miami, and other communities in central and south Florida. The first

phase of the service funded through ARRA will connect Orlando to Tampa, with intermediate

service to several of central Florida’s major tourist destinations. This segment will cover 84

miles and completion is anticipated in 2014. A second phase will connect Orlando to Miami,

following either an inland or a coastal route. This segment will cover 230 miles and is

anticipated to be completed in 2017.

The hallmark of world-class, high-speed rail is safety. FRA believes that railroads conducting

HSR operations in the United States can provide service as safe as, or safer than, any HSR

operation being conducted elsewhere. In anticipation of such service, and to promote public

safety, FRA has developed the High-Speed Passenger Rail Safety Strategy. The final version of

the Safety Strategy was issued in November 2009 and is available on FRA’s Web site. The

Strategy includes (1) establishing safety standards and program guidance for HSR, (2) applying a

system safety approach to address safety concerns on specific rail lines, and (3) ensuring that

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railroads involved in passenger train operations effectively and efficiently manage train

emergencies. This strategy endeavors to achieve uniformly safe rail passenger service,

regardless of speed. Since the severity of collisions and derailments increases with speed, safety

performance targets for preventive measures are tiered to become more stringent as speed

increases.

The strategy divides the safety issues into four categories: prevention, mitigation, emergency

management, and System Safety Plans. Each category includes FRA initiatives to address the

corresponding safety issues. Some initiatives are fully developed with specific goals in place to

address issues. For example:

Vehicle Track Interaction and key safety issues related to track and structures will be

addressed through a final rule scheduled to be published in the first quarter of CY 2011.

Standards for PTC systems that define increased functionalities for higher speeds were

identified in 2010.

Structural standards for Tier I trainsets (up to 125 mph) are under review in the RSAC

Engineering Task Force. Initial guidance will be issued by the end of CY 2010.

Structural standards for Tier II and above will commence in CY 2011 after Tier I

guidelines are completed.

System safety is also identified as a Safety Strategy component. HSR systems and other new

passenger rail service require development and evaluation of SSPs. SSPs seek to integrate the

process of identifying safety needs and managing them over time. One key to success is

effective hazard identification, which focuses attention on opportunities for risk reduction in the

particular circumstances of the specific passenger railroad. The purpose of an SSP is to improve

railroad safety through a structured, proactive program developed and implemented by passenger

railroad operators. The SSP can also support development of a strong safety culture and requires

processes and procedures to identify and manage hazards inherent to the passenger railroad.

Requirements for SSPs on HSR systems will be included in HSR Rules of Particular

Applicability and will be formalized for all passenger operations in ongoing rulemaking activity.

The goals for System Safety include completion of the RSAC portion of the System Safety

Regulation by CY 2011 and issuing an NPRM for the System Safety Regulation by the end of

2012.

Longer-term initiatives that address specific issues related to the Safety Strategy will be

developed throughout 2011. Work on these initiatives will commence as other projects are

completed and technical resources become available.


fatalities.

Deaths among trespassers on railroad rights-of-way (3,021 in the 5-year period 2005 to 2009, or

approximately 600 annually) are the leading cause of fatalities attributable to railroad operations

in the United States. From a study completed in May 2008, FRA learned that trespassers who

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die are an average of 38 years old and are most often Caucasian males. Approximately two-

thirds were under the influence of alcohol and/or drugs. Coroners described the activity of more

than 43 percent of the decedents as walking, standing, sleeping, lying, reclining, lounging, or

sitting on the track or in the gauge, i.e., between the rails. Seven percent were walking or

running across the track. Other activities included riding a recreational vehicle (all-terrain

vehicle, dirt bike, snowmobile, etc.), standing outside the gauge but obviously too close, riding

or getting on or off a train, driving a highway vehicle, or being on a bridge or trestle. Tunnels

were not mentioned.

Future Trespassing Strategies

FRA’s future trespassing strategies include the following:

Promote and enhance public safety by reducing rail-related deaths and injuries due to

trespassing on railroad rights-of-way and other property, using increased public outreach

and education programs. (Ongoing)

Partner with national organizations to increase awareness and enforcement of railroad

trespassing, including OLI. In addition, FRA will partner with Drug Abuse Resistance

Education (D.A.R.E.) America to develop graffiti prevention programs with special focus

on railroad trespassing.

Prior to FY 2012:

FRA staff will host a Right-of-Way Trespass Reduction Workshop that will take an in-

depth look at the issues surrounding trespassing and fatalities on railroad rights-of-way.

The goal of the workshop will be to identify and share existing industry leading practices

and to explore new strategies that the railroad industry can pursue to reduce the number

of right-of-way and trespasser incidents and fatalities.

FRA staff will review and update trespass and vandalism strategies and conduct a

demographic study of profiles collected by the rail industry to provide information

regarding the at-risk audience to be targeted for additional education and outreach

activities.

In FY 2012, FRA will continue to promote and enhance public safety by reducing rail-related

deaths and injuries due to trespassing on railroad rights-of-way and other property, using

increased public outreach and education programs by:

1. Using data collected by the railroads and working with the Geographic Information

System (GIS) to plot each trespassing incident and fatality. This information will be

useful to direct additional outreach, educational resources, and law enforcement activities

to areas in need.

2. Updating the Compilation of State Laws and Regulations Affecting Highway-Rail Grade

Crossing.


1. Review and update model trespass legislation and vandalism model legislation.

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1. Review and update trespass and vandalism prevention strategies.

2. Study the impact of the Rails-to-Trails program on trespasser and pedestrian safety.


1. Host a Right-of-Way Trespass Reduction Workshop (as in 2011).

2. Conduct a demographic study of profiles (as in 2011).


1. Use the new data being collected under Part 225 to conduct an analysis on suicides on

railroad rights-of-way.

2. Use the GIS information being collected on trespassing incidents being reported under

Part 225 to conduct an analysis to locate ―hot spots‖ where trespassing is likely to occur.


infrastructure to prevent accidents, incidents, injuries, and fatalities caused

by catastrophic failures and other bridge and tunnel failures.

FRA Bridge Safety Program

FRA has been conducting evaluations of railroad bridge management programs since the 1980s,

before the Bridge Safety Policy was issued as an interim statement in 1995 and in final form in

August 2000. The policy issues guidelines by which railroads should implement bridge safety

management programs, and by which FRA evaluates those programs. FRA issued a revised

bridge policy statement in January 2009 to add recommendations developed by the Railroad

Bridge Working Group of the RSAC in 2008.

In September 2007, FRA also issued Safety Advisory 2007-03 to further explain and amplify

important aspects of the agency’s bridge safety policy and to re-emphasize the need for railroads

to adopt and implement safe maintenance practices to prevent bridge failures.

Following enactment of RSIA, FRA’s RSAC undertook the task of developing a recommended

text for a Federal railroad bridge safety regulation which would govern railroads’ bridge

management programs. The RSAC Working Group completed that task in April 2009. In

August 2009, FRA published an NPRM based on the RSAC recommendation. The final rule

was published on July 15, 2010, and became effective on September 13, 2010.

Meanwhile, FRA continues to evaluate bridge management practices on a representative

sampling of the Nation’s railroads, including Class I, II, and III freight railroads, and passenger

carriers. The evaluations generally compare a railroad’s program with the guidelines in the FRA

Bridge Safety Policy, and include observations of individual bridges to determine their general

condition, as well as the accuracy of the railroad’s inspection reports. Most large railroads

generally conform to the FRA guidelines, but FRA has discovered instances in which

management had not adequately evaluated or addressed critical items delineated in railroad

bridge inspection reports before they developed into critical failures or near-failures. Many of

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the smaller railroads evaluated also conformed generally to the guidelines, but a considerable

number either fell short by a large degree or showed no evidence of bridge inspection,

management, or maintenance.

FRA has examined reports from January 1, 1982, through December 31, 2006, of 51 train

accidents caused by the catastrophic structural failure4 of railroad bridges, an average of two per

year. During that 25-year period, two people were injured and no fatalities were attributed to

structural bridge failure. Since that period, four instances have been reported to FRA in which

lack of adherence to the guidelines in the Bridge Safety Policy resulted in trains operating over

structural deficiencies in steel bridges that could very easily have resulted in serious train

accidents.

In CY 2007, five train accidents occurred due to catastrophic structural failure of bridges, all of

which were timber trestles. The most severe of those accidents occurred on the M&B Railroad

near Myrtlewood, Alabama, where a train of solid fuel rocket motors derailed when a timber

trestle railroad bridge collapsed under the train. Several cars, including one car carrying a rocket

motor, rolled onto their sides and six people were injured. FRA also recently evaluated the

bridge management practices of several small railroads and found that some had no bridge

management or inspection programs whatsoever.

In CY 2008, FRA had reports of two train accidents due to catastrophic structural failure of

bridges, both of which were timber trestles. One railroad employee was injured from this cause.

In CY 2009, four reportable train accidents were related to bridge structural failures. Two

involved timber trestles, one a steel pile trestle, and one was caused by failure of the mechanism

of a moveable bridge.

Besides the development of regulations and the evaluation of railroad bridge management

programs, FRA is cooperating with the American Short Line and Regional Railroad Association

and all of the Class I railroads in the development of model programs that can be adopted by

small railroads to enable the safe, effective, and efficient management of their bridges.

RESOURCES NEEDED

The resources needed to meet the safety programs and goals in this strategy plan for FY 2012 are

found in FRA’s budget request for FY 2012.

PROGRESS ASSESSMENT

A historic review of FRA’s safety program including information from GPRA measures over a

5-year period are provided to show the progress made leading up to the RSIA requirements.

4 FRA uses the term ―catastrophic failure‖ to describe an incident in which a bridge collapses or directly causes a

train accident. A ―bridge failure‖ is a situation in which a bridge is no longer capable of safely performing its

intended function.

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FRA Safety Performance Measures

1. GRADE CROSSING INCIDENTS

Fiscal

Year Incidents

Train-Miles (000s)

Rate per Million Train-Miles

Actual * GPRA Goal

2004 3,078 764,846 4.02 NA

2005 2,984 785,882 3.80 3.90

2006 3,071 805,340 3.81 3.85

2007 2,805 793,800 3.54 3.75

2008 2,537 781,708 3.25 3.75

2009 2,036 683,562 2.99 3.65

2010 1,970 689,140 2.86 3.65

* Rounding of train-miles might cause minor differences in rate calculations.

NA: not available

2. HUMAN FACTORS-CAUSED TRAIN ACCIDENTS

Fiscal

Year Incidents

Train-Miles (000s)


Actual * GPRA Goal

2004 1,315 764,846 1.72 NA

2005 1,295 785,882 1.65 1.66

2006 1,115 805,340 1.38 1.66

2007 1,034 793,800 1.30 1.66

2008 957 781,708 1.23 1.66

2009 708 683,562 1.04 1.35

2010 623 689,140 0.90 1.35


NA: not available

3. TRACK-CAUSED TRAIN ACCIDENTS

Fiscal

Year Incidents

Train-Miles (000s)


Actual * GPRA Goal

2004 1,006 764,846 1.32 NA

2005 1,099 785,882 1.40 1.27

2006 1,063 805,340 1.32 1.27

2007 1,003 793,800 1.26 1.15

2008 859 781,708 1.10 1.15

2009 704 683,562 1.03 1.15

2010 653 689,140 0.95 1.15


NA: not available

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4. EQUIPMENT-CAUSED TRAIN ACCIDENTS

Fiscal

Year Incidents

Train-Miles (000s)


Actual * GPRA Goal

2004 419 764,846 0.548 NA

2005 392 785,882 0.499 0.521

2006 350 805,340 0.435 0.521

2007 333 793,800 0.419 0.521

2008 339 781,708 0.436 0.521

2009 250 683,562 0.369 0.450

2010 250 689,140 0.362 0.450


NA: not available

5. OTHER (SIGNAL AND MISCELLANEOUS) TRAIN ACCIDENTS

Fiscal

Year Incidents

Train-Miles (000s)


Actual * GPRA Goal

2004 529 764,846 0.692 NA

2005 556 785,882 0.707 0.647

2006 517 805,340 0.642 0.647

2007 403 793,800 0.509 0.647

2008 391 781,708 0.499 0.647

2009 329 683,562 0.484 0.647

2010 335 689,140 0.486 0.593


NA: not available

6. NON-ACCIDENT RAIL HAZMAT RELEASES

Fiscal

Year Incidents

Train-Miles (000s)


Actual * GPRA Goal

2004 669 764,846 0.875 NA

2005 684 785,882 0.870 0.965

2006 632 805,340 0.785 0.940

2007 697 793,800 0.878 0.915

2008 686 781,708 0.895 0.900

2009 629 683,562 0.927 0.800

2010 666 689,140 0.966 0.800


NA: not available

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CONCLUSION

FRA’s Railroad Safety Strategy includes a variety of approaches to achieve industry safety

improvements. The NSPP is focused on critical safety projects that are designed to advance

safety improvements. The NIP focuses Federal inspector efforts toward areas on railroads

needing the most attention and monitors progress made achieving inspection goals.

Rulemakings are improving industry actions by providing improved methods to achieve safety

advancements. The RRP is a process that brings industry and FRA together to build a strong

safety culture. Highway-rail grade crossing and trespass prevention programs promote

enhancing public safety through public outreach, educational programs, and increased law

enforcement partnerships. FRA’s research and development has potential for significant safety

impact, a positive impact on performance, and identifying promising available technology.

Emphasis is placed on producing the maximum possible real-world impact at the earliest

possible time.

GPRA requires Federal agencies to develop strategic plans with long-term, outcome-oriented goals

and objectives, annual goals linked to achieving the long-term goals, and annual reports on the

results achieved. FRA uses this process to evaluate all aspects of its safety programs with the

overall focus on six GPRA goals that are designed to support two of DOT’s safety strategic

objectives (to reduce transportation-related accidents and incidents, and to reduce all

transportation-related hazardous materials incidents), as well as its current strategic objective to

reduce deaths and injuries. RRS has consistently achieved safety improvements using GPRA as a

method in reducing highway-rail grade crossing incidents, human factors-caused train accidents,

track-caused train accidents, equipment-caused train accidents, other (signal and miscellaneous)

train accidents, and rail non-accident hazardous materials releases per million train-miles. In the

FY 2009 ―Top Management Challenges,‖ DOT’s Inspector General noted that grade crossing

collisions and deaths had declined, that FRA had strengthened its crossing program, and that FRA

can do more by ―effectively implementing the safety mandates in the RSIA.‖

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199

U.S. DEPARTMENT OF TRANSPORTATION


Railroad Safety Strategy: Progress Assessment - FY 2011

February 2011

200


201

CONTENTS

Page Reference

INTRODUCTION .......................................................................................................................203

BACKGROUND .........................................................................................................................204

LONG-TERM STRATEGY MEASURES ..................................................................................205

RSIA SAFETY GOALS ..............................................................................................................207



human factors .........................................................................................................................207 Progress Assessment for RSIA Safety Goal #1 ..............................................................213


compliance programs .............................................................................................................217 Progress Assessment for RSIA Safety Goal #2 ..............................................................220



crossing safety ........................................................................................................................224

Progress Assessment for RSIA Safety Goal #3 ..............................................................226


and performance.....................................................................................................................227 Progress Assessment for RSIA Safety Goal #4 ..............................................................229


fatalities ..................................................................................................................................232 Progress Assessment for RSIA Safety Goal #5 ..............................................................233



catastrophic failures and other bridge and tunnel failures .....................................................234

Progress Assessment for RSIA Safety Goal #6 ..............................................................235

RESOURCES NEEDED .............................................................................................................236

PROGRESS ASSESSMENT .......................................................................................................236

CONCLUSION ............................................................................................................................238

202


203

INTRODUCTION

Section 102 of the Rail Safety Improvement Act of 2008 (RSIA) directed the Federal Railroad

Administration (FRA) to develop a Railroad Safety Strategy and submit it at the same time as the

President’s budget. FRA has incorporated this requirement with the fiscal year (FY) 2011

budget request to ensure consistency between this strategy and funding requests to achieve our

safety goals. This report’s organization mirrors the legislation language structure.

This report of FRA’s Railroad Safety Strategy submitted with the President’s budget for

FY 2011 covers Long-Term Strategy Measures and each of the six safety goals followed by a


Section 102 of RSIA reads as follows:

“SEC. 102. RAILROAD SAFETY STRATEGY

"(a) SAFETY GOALS —In conjunction with existing federally-required and voluntary

strategic planning efforts ongoing at the Department and the Federal Railroad

Administration as of the date of enactment of this Act, the Secretary shall develop a long-

term strategy for improving railroad safety to cover a period of not less than 5 years.

The strategy shall include an annual plan and schedule for achieving, at a minimum, the

following goals:

"(1) Reducing the number and rates of accidents, incidents, injuries, and

fatalities involving railroads including train collisions, derailments, and human

factors.

"(2) Improving the consistency and effectiveness of enforcement and


"(3) Improving the identification of high-risk highway-rail grade crossings

and strengthening enforcement and other methods to increase grade crossing

safety.

"(4) Improving research efforts to enhance and promote railroad safety and

performance.

"(5) Preventing railroad trespasser accidents, incidents, injuries and

fatalities.

"(6) Improving the safety of railroad bridges, tunnels, and related


catastrophic failures and other bridge and tunnel failures.

"(b) RESOURCE NEEDS.—The strategy and annual plan shall include estimates of

the funds and staff resources needed to accomplish the goals established by subsection

(a). Such estimates shall also include the staff skills and training required for timely and

effective accomplishment of each such goal.

"(c) SUBMISSION WITH THE PRESIDENT’S BUDGET.—The Secretary shall submit the

strategy and annual plan to the Senate Committee on Commerce, Science, and

Transportation and the House of Representatives Committee on Transportation and

Infrastructure at the same time as the President’s budget submission.

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"(d) ACHIEVEMENT OF GOALS.—

"(1) PROGRESS ASSESSMENT.—No less frequently than annually, the

Secretary shall assess the progress of the Department toward achieving the

strategic goals described in subsection (a). The Secretary shall identify any

deficiencies in achieving the goals within the strategy and develop and institute

measures to remediate such deficiencies. The Secretary and the Administrator shall

convey their assessment to the employees of the Federal Railroad Administration

and shall identify any deficiencies that should be remediated before the next


"(2) REPORT TO CONGRESS.—Beginning in 2009, not later than November 1

of each year, the Secretary shall transmit a report to the Senate Committee on

Commerce, Science, and Transportation and the House of Representatives

Committee on Transportation and Infrastructure on the performance of the Federal

Railroad Administration containing the progress assessment required by paragraph

(1) toward achieving the goals of the railroad safety Strategy and annual plans

under subsection (a).

This report contains both the safety strategy submitted to Congress with the President’s FY 2011

budget and FRA’s assessment of progress towards meeting the goals presented in the strategy.

Each section of this report contains the text of the strategy followed by an assessment of the

progress made during FY 2010 towards achieving each goal.

BACKGROUND

FRA promotes and regulates safety throughout the Nation’s railroad industry. Most of its

regulatory authority is codified under Parts 200 to 299 of Title 49 of the Code of Federal

Regulations (49 CFR 200-299). FRA has numerous enforcement tools under its authority,

including defect and deficiency warnings, civil penalties, compliance and emergency orders,

special notices, and directives.

FRA executes its regulatory and inspection responsibilities through a diverse staff of railroad

safety experts who share their experience with the industry. The staff includes more than 400

inspectors and other safety professionals across the Nation who are assigned to eight regional

offices. FRA safety inspectors specialize in five safety disciplines consisting of Track and

Structures, Signal and Train Control, Motive Power and Equipment (MP&E), Operating

Practices (OP), and Hazardous Materials (HM). In addition, FRA’s field complement includes

program managers for highway-rail grade crossing safety and trespass prevention, bridge

structure specialists, and industrial hygienists.

The railroad industry experienced a significant improvement in safety from calendar year (CY)

2000 to 2008, with the total number of all reportable rail-related accidents and incidents

declining 26 percent. During this period, train accidents also fell by 18 percent, casualties

(deaths and injuries) dropped 24 percent, and highway-rail grade crossing incidents decreased 32

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percent. These actual number results are all the more impressive because they occurred during

an era where train miles increased 6 percent.

As remarkable as these numbers are, several major freight and passenger train accidents in 2004

and 2005 raised concerns about railroad safety. In addition to several key national rail safety

initiatives that FRA has championed since 2005, the agency has also devoted four of its six

safety performance measures to evaluate train accidents under the Government Performance and

Results Act of 1993 (GPRA).

LONG-TERM STRATEGY MEASURES

FRA believes that the long-term strategy achievements expected from RSIA in Sec. 102 and

other FRA safety efforts are best evaluated using GPRA results. FRA has been using these goals

to measure regional performance and FRA’s overall safety performance since GPRA was

officially implemented at the agency.

FRA’s GPRA goals for FY 2012 through FY 2015 at this time only assume FRA inspector

staffing increases of 5 FTE/10 positions for FY 2011. When additional field inspectors are hired,

the impact on safety improvements is not immediate. Our experience shows to expect at least a

1-year lag in safety improvement from new inspectors. This time is used to train them on

performing safety enforcement duties.1

Increases in headquarters positions focus on ways to achieve safety improvements through

rulemakings, enforcement oversight, and alternative methods such as the Risk Reduction

Program (RRP). RRP looks for ways to improve safety by identifying areas through industry

collaboration that achieve safety results in ways not previously identified.

FRA’s six GPRA goals and one Department of Transportation goal as of October 2009, which is

when the Railroad Safety Strategy covering FY 2011 – 2015 was developed, are listed in the

tables below. Note that FRA reviews these goals annually and adjusts them as necessary to

reflect new regulations and other safety initiatives as well as resources available. The goals

presented below were last reviewed in 2010. However, since these were the goals in place

during FY 2010, these are the goals that FRA worked towards during the period covered by this

Railroad Safety Progress Assessment.

1: Grade Crossing Incidents

2011 2012 2013 2014 2015


2: Human Factors-Caused Train Accidents

2011 2012 2013 2014 2015


1 FRA revises its GPRA goals on an annual basis.

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3: Track-Caused Train Accidents

2011 2012 2013 2014 2015


4: Equipment-Caused Train Accidents

2011 2012 2013 2014 2015


5: Signal/Miscellaneous Train Accidents

2011 2012 2013 2014 2015


6: Non-Accident Hazardous Materials Releases

2011 2012 2013 2014 2015


FRA also has an overall performance measure that reports on accidents/incidents per million

train miles as part of the U.S. Department of Transportation (DOT) Safety Performance Goals.

These goals, like other safety goals, are based on available data for analysis. Programs such as

the National Safety Program Plan (NSPP), the National Inspection Plan (NIP), rulemakings,

RRP, and inspections contribute to achieving these safety goals.

DOT Safety Performance Goal: Rail Accidents/Incidents

2011 2012 2013 2014 2015

Rate Per Million Train-Miles * 16.40 16.25 16.05 15.80 15.50

* This projection assumes that all five of the Automatic Track Inspection Program (ATIP) cars will be in service (including T17, T19, and T20)

and that the Track Integrity Group will be fully staffed by 2010.

FRA exceeded its five accident goals (Goal 1 through Goal 5 below) as well as the DOT Safety

Performance goal. This indicates that the efforts made by FRA inspectors, coupled with our

regulatory and other safety program initiatives, have positively impacted railroad safety.

FY 2010 Goals and Results for Six FRA Internal Goals and One DOT Goal under GPRA

2010 Rate Per Million Train-

Miles Goal 1 Goal 2 Goal 3 Goal 4 Goal 5 Goal 6

DOT

Goal

Goal 3.65 1.35 1.15 0.45 0.59 0.80 16.40

Actual 2.86 0.90 0.95 0.36 0.49 0.97 16.13

Regarding Goal 6—Non-Accident Hazardous Material Releases—the number of hazmat releases

has been relatively consistent over the last six years, while number of train miles has decreased.

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There are two reasons for this. First, demand for hazardous materials is inelastic, relative to that

for other commodities transported by rail, as was evidenced during the recent economic

recession. Second, FRA is using new tools that allow us to gather information on hazmat

releases and begin the investigative progress earlier. FRA is also more effectively using

precursor data.

RSIA SAFETY GOALS



human factors.

National Safety Program Plan (NSPP)

The NSPP is the FRA Office of Railroad Safety’s annual (fiscal year) document designed to

ensure the sound implementation of the National Safety Program, including identification of

recurring and nonrecurring special-emphasis activities for the year. The NSPP provides a

mechanism for planning recurring activities (e.g., dispatch-center assessments performed

triennially on a rotating basis). At the national level, it identifies emphasis areas based on data

analyses, including interregional initiatives directed at particular system-level issues of concern

for major railroads operating in multiple regions. The NSPP for FY 2010 integrates safety

planning for all elements of the Office of Railroad Safety into a single document.

National Inspection Plan (NIP)

In December 2004, the Office of Inspector General (OIG) recommended that FRA submit to the

Secretary of the Department of Transportation a comprehensive rail safety plan for implementing

a program that, among other things, makes meaningful use of available data on which to focus

inspection activities. In 2005, FRA issued the National Rail Safety Action Plan, which contains

the development and implementation of a new NIP. Under this approach, FRA inspectors focus

their efforts on locations that, according to data-driven models, are likely to have safety

problems.

The purpose of the NIP is to optimize FRA’s ability to reduce the rates of various types of train

accidents, releases of hazardous materials, and casualties from human factor errors. The plan

provides guidance to each regional office on how its inspectors, who each specialize in one of

the five inspection disciplines, should divide their work by railroad company and State.

The NIP is a process that involves three steps. In the first step, FRA headquarters produces an

initial baseline plan for each of the agency’s eight regions. In the second step, the regional

administrators may adjust the goals for their respective regions based on local knowledge and

emerging issues. In the third step, once the fiscal year starts, FRA monitors how the regions are

meeting their inspection goals. The NIP is implemented through a Web-based interface that

allows FRA headquarters and the regions to monitor progress in field inspections during a fiscal

year.

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Dashboard

In 2008, FRA deployed a Dashboard tool on its secure Web site to provide its leadership,

regional management, and inspection workforce multiple views of the agency’s current and

historical enforcement efforts. Inspection data from the field is compiled in near-real time

fashion and a nightly process creates the data stores to display detail and aggregated data

graphically (bar graphs and gauges). The Dashboard is also used as an effective performance

management tool. It maintains over 15 different metrics (e.g., inspection days, defect ratios,

violations) at the inspector, discipline, and regional levels. Finally, the Dashboard serves as a

central launch pad for several complex query and report programs that have been integrated into

the output displays and allows users to ―drill down‖ when additional detail is required. It is a

useful decision support tool in managing limited inspection resources when scheduling

enforcement activities such as focused inspections and audits. It also allows FRA headquarters

managers to monitor inspection activities in the regions to ensure that enforcement and

compliance policy is applied uniformly.

Staff directors of the various disciplines at FRA headquarters conduct regularly occurring Web

meetings with regional specialists in their respective disciplines to go over the data that is

compiled in the Dashboard. Using the Dashboard ―cube,‖ an online analytical processing data-

mining tool, headquarters staffers are able to view inspections summarized by activity category

(Top 10 categories) and correlate this with information on what types of accidents and incidents

are occurring in the region. This allows headquarters and the regions jointly to address where

the safety hazards are being identified and plan inspection activities accordingly. The regional

managers also use the compiled data to ensure that each discipline and each inspector is

maintaining the goals and to address outliers in the data.

Rulemakings

Railroad Safety Advisory Committee (RSAC)

Through its RSAC, FRA works collaboratively with Government entities, railroads, unions, trade

associations, suppliers, and other stakeholders to fashion mutually satisfactory solutions on

safety regulatory issues. Recent RSAC efforts include rules regarding passenger train

emergency systems, accident/incident reporting, and railroad operating rules. Its schedule for

2009 included additional protection for roadway workers, passenger equipment crashworthiness,

medical standards for safety-critical personnel, hours of service recordkeeping, bridge safety

standards, and advanced signal and train control technology, i.e., positive train control (PTC).

FRA has worked to implement several other new regulations through the traditional rulemaking

process. These recent rulemakings include electronically controlled pneumatic brakes, poison

inhalation hazard (PIH) tank car crashworthiness (with the Pipeline and Hazardous Materials

Safety Administration (PHMSA), and rail-routing rule for hazardous materials (also with

PHMSA).

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FRA has also begun a rulemaking that establishes minimum training standards for each class or

craft of safety-related employee and equivalent railroad contractor and subcontractor employee,

as specified in Section 401 of RSIA.

Rail Route Analysis Requirements for Security Sensitive Materials

The Implementing Recommendations of the 9/11 Commission Act of 2007 required DOT to

issue a final rule that would require rail carriers of security-sensitive hazardous materials to

―select the safest and most secure route to be used in transporting‖ those materials, based on the

rail carrier’s analysis of the safety and security risks on primary and alternate transportation

routes. On November 25, 2008, PHMSA, in close consultation with FRA, published a final rule

implementing these requirements. FRA administers the PHMSA rule and may force a carrier to

use routes other than those selected if it finds that: (1) the carrier failed to conduct an adequate

analysis; or (2) the carrier failed to select the safest and most secure route. This action would

only be taken after consulting with PHMSA, the Transportation Security Administration (TSA),

and the Surface Transportation Board.

PHMSA’s rail routing rule requires rail carriers of security-sensitive hazardous materials to

compile annually traffic data on shipments of these materials. The Department of Homeland

Security (DHS) and DOT have determined that security-sensitive materials are bulk shipments of

PIH materials; certain explosive materials that pose a hazard of mass explosion, fragment

projectile, or a fire hazard; and certain high-level radioactive material shipments. Railroads are

required to annually analyze and assess the safety and security of the routes used to transport

these security-sensitive materials and all available practicable alternative routes over which they

have authority to operate, and to solicit input from State, local and tribal officials regarding

security risks to high-consequence targets along or in proximity to the routes. The route

assessment must consider a minimum of 27 risk factors, including rail infrastructure

characteristics along the route, proximity to iconic targets, environmentally sensitive or

significant areas, population densities, and emergency response capabilities. After considering

mitigation measures to reduce safety and security risks, the railroads are to select the practicable

routes that pose the least overall safety and security risks. Railroads can elect to make their

initial routing decisions by September 1, 2009, based on analysis of 6-month data (from July to

December 2008), or make their decisions by March 31, 2010 (based on calendar year 2008 data).

Using funding from DHS, the Railroad Research Foundation developed a risk management tool

that will assist rail carriers in performing the safety and security analyses mandated by RSIA.

The Rail Corridor Risk Management System (RCRMS), a Web-based interactive tool, will

enable rail carriers to identify route characteristics using the 27 factors and to weigh safety and

security impacts. The RCRMS thus provides a standardized, consistent approach to the process

of selecting the rail routes posing the least overall safety and security risks for security-sensitive

hazardous materials.

Railroad Operating Rules (ROR)

The ROR final rule is already making a significant impact in the improvement of railroad

transportation safety at the national, State, and local levels, while dramatically enhancing the

safety of all railroad employees. The new rule directly addresses 49 percent of the human factor

accident causes and enhances transportation safety for railroad employees and the public by

210

bringing responsibility and accountability for compliance with critical railroad operating rules to

the industry.

The final rule covers both railroad operational testing programs and railroad operating practices

related to the handling of equipment, switches, and fixed derails. The rule establishes greater

accountability for implementation of sound operating rules necessary for safety. The theme of

the final rule is accountability. It embodies a broad strategy intended to promote better

administration of railroad programs, on the one hand, and a highly targeted strategy designed to

improve compliance with railroad operating rules addressing three critical subject matters, on the

other. Within this framework, FRA is taking responsibility to set certain requirements heretofore

left to private action and will be monitoring compliance with those requirements through

appropriate inspections and audits. Railroad management is held accountable for putting in place

appropriate rules, instructions, and programs of operational tests. Railroad supervisors are held

accountable for doing their part to administer operational tests and establish appropriate

expectations with respect to rules compliance. Railroad employees are held accountable for

complying with specified operating rules and will have a right to challenge if they are instructed

to take actions that, in good faith, they believe would violate the rules. This framework of

accountability is intended to promote good discipline, prevent train accidents, and reduce serious

injuries to railroad employees.

In CY 2004, 32 people were injured as a result of 646 accidents, but by 2007, the number of

injuries was reduced to 5. For 2004, the industry suffered $30,458,185 in damages as a result of

human factor-caused accidents, but through 2007, the total cost to the industry was $18,801,398.

The 2008 figures through April (117 human factor-caused accidents, 0 injuries or deaths, and

$4,888,372 in damages) bode well for continued improvement. Furthermore, the reduction of

human factor-caused accidents and employee injuries was a key objective of FRA and DOT’s

National Safety Plan, and the team’s activities over the last 3.5 years have accelerated the drive

to accomplish this primary objective.

Electronically Controlled Pneumatic (ECP) Brakes

In CY 2005, 14 percent of train accidents on mainline track caused by human error involved the

improper handling or misuse of the automatic braking system. Today’s air-brake systems are

built on 19th century pneumatic technology that has been progressively refined to support

current railroad operations. Broad agreement exists among railroads, suppliers, and users of

these systems that they have serious limitations that cannot be remedied with further incremental

changes.

In 2006, FRA released the final report, ―ECP Brake System for Freight Service.‖ The study

addresses the issues surrounding this technology, presents alternative plans for ECP brake

implementation, and offers a recommended approach.

On October 16, 2008, FRA issued revisions to regulations governing freight power brakes to

provide for and encourage the safe implementation and use of ECP brake systems. This rule

allows railroads to take advantage of productivity-enhancing technologies to achieve very

significant long-term cost savings. This technology has the potential to alleviate congestion on

many rail corridors and, thus, increase rail capacity and economic growth for the Nation. The

economic analysis and information collection package were key to obtaining Office of

211

Management and Budget clearance for issuance of this rule. The MP&E Division had processed

this rulemaking on an expedited basis starting in FY 2007. The new rule has encouraged the safe

implementation and use of new ECP brake systems by providing specific requirements relating

to the design, interoperability, training, inspection, testing, handling defective equipment and

periodic maintenance related to ECP brake systems. Since the issuance of the new rule, FRA has

continued to meet with the railroads and provide safety oversight for new ECP brake-equipped

train starts. To date, BNSF Railway has successfully deployed two ECP brake-equipped

standalone ―pilot‖ coal trains (Alabama to Wyoming), Norfolk Southern Railway has two such

trains (in Pennsylvania and West Virginia) and Union Pacific Railroad has one intermodal ECP

brake-equipped train (Long Beach, CA to Dallas, TX). These ECP brake-equipped trains

provide for significantly enhanced safety, which includes shorter stopping, distances (up to 30

percent reduction), reduced train slack action, reduced brake shoe/rigging wear, and better train

handling as well as enhanced energy conservation/fuel savings.


FRA is continuing to support national deployments of advanced signal and train control

technology to improve the safety, security, and efficiency of freight, intercity passenger, and

commuter rail service through regulatory reform, project safety oversight, technology

development, and financial assistance. ―Positive Train Control‖ refers to technology that is

capable of preventing train-to-train collisions, overspeed derailments, and casualties or injuries

to roadway workers (e.g., maintenance-of-way workers, bridge workers, signal maintainers)

operating within their limits of authority. PTC systems vary widely in complexity and

sophistication based on the level of automation and functionality they implement, the system

architecture utilized, and the degree of train control they are capable of assuming. Current PTC

system designs either act as a safety overlay for existing methods of rail operations or provide

the functionality necessary to implement new methods of rail operations. PTC technology also

has the potential capability to limit adverse consequences of events such as hijackings and

runaways that are of special concern in an era of heightened security. Because of the

requirements of RSIA, FRA has tasked the RSAC with a new Federal regulation requiring each

Class I railroad and any entity that provides regular scheduled intercity or commuter rail

passenger transportation to submit a plan for implementing a PTC system.


The RRP is an FRA-led, industry wide initiative to reduce accidents and injuries, and build

strong safety cultures by developing innovative methods, processes, and technologies to identify

and correct individual and systemic contributing factors using ―upstream‖ predictive data. RRP

will incorporate developing knowledge of precursors to actual accidents, confidential reporting,

effective problem analysis, and corrective actions. The adoption of new non-regulatory

approaches creates the opportunity for accelerated improvement but does not supersede current

regulatory approaches. Since FRA initiated this program on its own, RSIA has mandated it and

made it mandatory by October 2012.

FRA envisions a wide variety of projects that could fit under the RRP umbrella. Some examples

include the close-call reporting systems, peer observation programs, management development

systems, and the Collision Hazard Analysis currently in place on some commuter railroads. In

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addition, use of the Track Quality Index or innovative use of wayside equipment monitors and

sensors for predictive maintenance or capital investment might qualify as RRP programs. In

fact, any innovative use of predictive data could be seen as a potential pilot.

In addition to the voluntary programs, by October 2012, FRA will implement a regulation

requiring certain railroads to develop and implement risk reduction programs, and to file RRP

plans with the FRA. Once the regulation is in effect, FRA will approve the plans and will

monitor railroads’ compliance with the plans to ensure that railroads proactively identify and

address risks. Given that this program is in its infancy and will not be an industry wide

requirement for several years, the ability to estimate or predict the impacts on future

improvements on safety are difficult to accomplish. In addition, given that this program will not

be required industry wide, it might take several years for the benefits to materialize.


In 2009, FRA formally established the Passenger Rail Division (PRD) to support the RSIA

initiative for the development of passenger rail programs throughout the United States by

October 16, 2012, and the American Recovery and Reinvestment Act of 2009 (ARRA) to

support high-speed rail (HSR) and commuter/passenger rail development. PRD is coordinating

and maintaining FRA safety policies, regulations, and guidance for all matters related to HSR,

intercity rail, commuter rail, and shared-use rail operations.

The primary focus of PRD will be to develop new Federal standards for rail passenger

equipment, training, and operations. The program will also help to evaluate proposed rail

operations to determine if they are safe and whether the proposed equipment meets Federal

standards.

More specifically, this division will concentrate on the many issues associated with the selection,

implementation, and evaluation of passenger rail projects pertaining to System Safety and

Emergency Response Plans, and PRD will also address the many issues associated with the

selection, implementation, and evaluation of ―new start‖ railroads and the associated planning

and determination of compliance with existing Federal regulations. The division’s

responsibilities would also include a focus on pilot projects that involve application of new

technologies to improve safety.

Some of the most important work administered by PRD is passenger rail system safety. The

PRD directs an outreach program to provide passenger railroads training and information on

system safety techniques. PRD staff also collaborates with the American Public Transportation

Association to conduct system safety audits on passenger rail operations. System safety for

passenger rail operations is currently a voluntary program. PRD staff, however, is working with

an RSAC group to develop a System Safety Regulation that will require all passenger railroads

to develop and implement System Safety Programs (SSP) that satisfy the RSIA requirements for

a risk reduction program.

System safety uses innovative hazard management techniques to proactively identify and address

safety issues before accidents occur. Use of system safety supports the FRA Railroad Safety

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Strategy in that the hazard management techniques can reduce the number, frequency, and

severity of all passenger rail related accidents, injuries, and fatalities, including those related to

trespassing and highway-rail grade crossings.

The PRD goals include completion of the RSAC portion of the System Safety Regulation by

February 2010 and issuing a notice of proposed rulemaking (NPRM) for the System Safety

Regulation by September 2010.

The division will continue to provide training and information on system safety and FRA

requirements to all passenger rail new starts. The PRD goal is for all passenger rail new starts to

have adequate training and information to establish its own SSP.

Another important initiative for the PRD is to provide program management for the development

of HSR standards, regulations, and rules of particular applicability, and to address HSR mandates

contained in RSIA and ARRA for HSR corridors. FRA regulations for HSR currently support

maximum train speeds of 150 miles per hour (mph). The HSR vision contained in RSIA and

ARRA contemplates train speeds of up to 220 mph.

The PRD is currently working with two potential HSR operators, DesertXpress and California

HSR, to identify appropriate safety requirements for those applications. The PRD goal is to have

requirements fully defined for DesertXpress and California HSR by 2011. However,

identification and funding of additional projects in the coming year may require the PRD to both

broaden and focus its efforts to address the variety of projects that may eventually be funded.

Progress Assessment for RSIA Safety Goal #1

National Safety Program Plan (NSPP), National Inspection Plan (NIP), and Dashboard

These three tools work together to ensure optimal short-, mid-, and long-term planning at all

levels of the organization. The FY 2010 NSPP was issued in October 2009 and includes both

recurring and nonrecurring special-emphasis activities for the year. It was updated on a quarterly

basis to reflect progress and revisions. In October 2009, the NIP was updated to cover FY 2010

based on accident data and safety goals, and FRA is now developing the NIP for FY 2011.

During FY 2010, FRA enhanced the Dashboard to show individual inspector activity, GPRA

goals, and NIP targets. The Dashboard, which reflects real-time information was developed in

2008, and has become an integral part of FRA’s self-auditing program. Managers and specialists

in both headquarters and the regions are able to identify quickly and easily trends and other

useful information regarding safety issues to refine inspection plans and/or to refocus resources

to address developing issues. Inspectors also have access to the tool and are able to measure

their work against goals and the national average. Regional managers are ensuring that the tool

provides incentives for the inspectors to deliver quality and legitimate inspections and do not

simply inflate their activity levels. The Dashboard also identifies errors associated with

inspection reports so corrective action can be taken in a timely manner. The Dashboard is one of

many tools that can be used to help both managers and inspectors to identify potential issues.

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Rulemaking Activities

FY 2010 was very productive for FRA in the safety rulemaking arena. FRA focused on the

development of regulations mandated by RSIA as well as other high-priority regulations aimed

at reducing accidents, incidents, injuries and fatalities. The most significant regulations issued

this year, Positive Train Control Systems and Restrictions on Railroad Operating Employees’

Use of Cellular Telephones and Other Electronic Devices, addressed human factor-caused

accidents and incidents. Both of these were developed in near record time with the issuance of

NPRMs and final rules occurring within less than 6 months of each other. FRA also advanced

the regulatory framework necessary for introducing new high-speed trainsets and advancing our

High-Speed Rail Safety Strategy.

During FY 2010, the full RSAC met four times, and various working groups and their task forces

met 24 times to discuss regulatory issues and develop recommendations for addressing them.

Some issues affected the entire industry, while others focused on passenger operations. The

issues discussed addressed the following areas:

Positive Train Control Systems

Conductor Certification

Railroad Bridges

Training Standards

Track Standards, Including Rail Integrity and Concrete Crossties

Passenger Car Engineering Standards

Passenger Hours of Service

Passenger Vehicle/Track Interaction

Passenger Rail System Safety Programs

General Passenger Safety Issues

As a result, during the year, FRA completed rulemakings on PTC and Railroad Bridge Safety,

Front-End Strength of Passenger Cab Cars and Multiple-Unit Locomotives, and issued NPRMs

on Concrete Crossties, Roadway Worker Protection—Adjacent Track On-Track Safety, and

Passenger Train Vehicle/Track Interaction. FRA also completed regulations developed in-house

addressing State Grade Crossing Action Plans, Reclassification of Locomotive Engineers, and

Restrictions on Railroad Operating Employees’ Use of Cellular Telephones and Other Electronic

Devices, and issued NPRMs on Safety Appliances, and Emergency Escape Breathing Apparatus.

Progress was also made in the areas of medical standards, conductor certification, and accident

reporting. FRA anticipates issuance of a final rule revising accident reporting requirements and

a NPRM on conductor certification early in FY 2011.

FRA was also diligent in implementing recently issued regulations, including the ones discussed

below.

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Railroad Operating Rules (ROR)

In CY 2004, 32 people were injured as a result of 646 accidents, but by CY 2009, the number of

injuries and deaths were reduced to 9, as a result of 282 accidents. For 2004, the industry

suffered $30,458,185 in damages as a result of human factors-caused accidents, but through

CY 2009, the total cost to the industry was down to $13,880,103. The CY 2010 figures through

June (121 human factors-caused accidents, 6 injuries and 0 deaths, and $6,342,448 in damages)

bode well for continued improvement. The reduction of human factors-caused accidents and

employee injuries was a key objective of FRA and DOT’s National Safety Plan, and the FRA’s

activities over the last 4.5 years have accelerated the drive to accomplish this primary objective.

Rail Hazardous Materials Routing Rule

FRA established a Routing Rule Compliance Team (Team) to verify compliance with the

requirements of the 2008 Final Rule on Rail Hazardous Materials Routing. This Team consists

of members from FRA’s Office of Railroad Safety, Office of Policy, and Office of Chief

Counsel, as well as PHMSA and TSA staff. The Team met with all Class I railroads and was

briefed on their routing plans. Subsequently, the team conducted compliance inspections at

railroad facilities and reviewed the decision processes used for selecting routes to ensure that

carriers conducted an adequate analysis of available viable routes and selected the safest and

most secure routes. The Team also met with the American Short Line and Regional Railroad

Association to coordinate review of routes for Class II and III railroads. The majority of these

railroads have a single route and a single interchange point. FRA plans to complete review of

these routes in CY 2010.

Electronically Controlled Pneumatic (ECP) Brake Systems

The ECP Brake Systems rule that FRA issued in 2008 is to provide for and encourage the safe

implementation and use of this new capacity-enhancing, safer operating and fuel conserving

technology. BNSF Railway and Norfolk Southern Railway (NS) have successfully deployed

ECP brake-equipped standalone pilot coal trains. NS also has three pilot coal trains deployed

with ECP brakes. On May 18, 2010, FRA granted a waiver to both carriers for a joint move

from the Powder River Basin to Southern Company’s Plant Scherer outside of Atlanta, GA. The

waiver extends the current Class I brake inspection maximum interval for ECP brake-equipped

trains in service to this plant from Powder River Basin originations from 3,500 miles (in the final

rule) to 5,000 miles. During FY 2010, FRA met with railroads interested in using ECP brake

systems for some double-stack train movements and actively monitored the safe use of ECP

brake systems where it has been deployed.


RSIA mandates that interoperable PTC systems must be fully implemented by the end of 2015.

On January 12, 2010, FRA issued historic safety regulations requiring that PTC technology be

installed on many of the Nation’s major rail lines as well as commuter and intercity passenger

rail routes. PTC is an integrated set of technologies that are to prevent train-to-train collisions,

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derailments caused by excessive speed, unauthorized incursion into roadway worker work zones,

and movement of a train through a switch in the wrong position. FRA expects initial cost to

implement PTC to be approximately $15 billion. This final rule, as mandated by Congress, is a

giant step forward toward ensuring the safety and reliability of our freight, commuter, and

intercity passenger rail routes. The final rule included specifications that allowed railroads to

begin immediately finalizing their PTC Implementation Plans, required by statute to be

submitted to FRA by April 16, 2010.

FRA received 41 PTC Implementation Plans in total, and has completed its detailed review of all

plans and provided written notice to each submitting railroad of the outcome of that review

within the allotted 90 days specified by subpart I of 49 CFR Part 236. During FY 2010, FRA

also created a PTC Branch dedicated to providing ongoing PTC implementation oversight within

the Signal and Train Control Division, consisting of a PTC supervisory specialist, two PTC

senior test monitors, and one PTC specialist in each of FRA’s eight regions.

FRA also published a Notice of Funds Availability, Solicitation of Applications for PTC-Related

Projects in March 2010. The program makes available $50 million in Federal funds for cost

sharing projects under the Rail Safety Technology Program, which is a newly authorized

program under the Rail Safety Improvement Act of 2008. FRA is currently reviewing

applications and expects to award funds soon.


Although the RRP is still in its infancy, FRA made significant progress in this area FY 2010.

FRA issued grants to further fund pilot projects on five railroads. The projects were chosen for

their likeliness to improve safety and reduce risk and for the applicability for collaborative

transfer to other railroads. The selected projects include the following:

1. Amtrak: Safety Culture Change, Reduce Grade Crossing Fatalities, and Cross-

Functional Risk Reduction Teams

2. BNSF: Personal Responsibility in Decreasing Exposure (PRIDE) Program

3. CSX: Continuous Internal Rail Flaw Detection

4. Norfolk Southern Railway: Continuous Rail Defect Testing Evaluation Project

5. Union Pacific Railroad: Fatigue Risk Management Plan


In FY 2010, FRA worked with RSAC to promulgate regulations enhancing its minimum

standards for the performance of collision post and corner post structures on cab cars and

multiple-unit (MU) locomotives. In addition to codifying enhanced safety standards for front-

end frame structures and specifying how the structures are required to perform quasi-statically,

the final rule includes dynamic performance criteria as an alternative means of demonstrating

compliance. The alternative requirements will help to open up the passenger train market to

innovative designs and crash energy managements systems, while assuring the maintenance of

high levels of crashworthiness and safety. A final rule was published on January 8, 2010.

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FRA established an RSAC Engineering Task Force to facilitate the regulation of passenger rail

equipment built to alternative standards, while maintaining high levels of crashworthiness and

occupant protection. Beginning in September 2009, the task force met on four separate

occasions to develop a set of technical criteria and procedures for alternatively evaluating the

crashworthiness and occupant protection performance of passenger rail equipment, intended to

be applied to alternatively -designed equipment for use in passenger rail service at speeds up to

125 miles per hour (mph)—Tier I service. The approach taken in formulating these criteria and

procedures will help guide the development of new crashworthiness and occupant protection

performance standards for passenger equipment operated at higher speeds.

Despite many efforts, FRA was not able to propose system safety regulations as planned in

September of 2010. Although the RSAC was able to make recommendations for a proposed

regulation at that time, the commuter rail industry has expressed concerns regarding duplication

of effort that may result from similar regulations issued by other agencies as well as

requirements under future FRA Risk Reduction regulations and protection of information

provided as part of their System Safety Program Plans. RSIA required FRA to conduct a study

to determine whether it would be in the public interest to protect such industry information;

completion of that study is expected in about one year.

PRD has worked extensively with new start commuter railroads, providing outreach, guidance,

and training to incorporate hazard analysis and system safety into their work processes. These

efforts ensure safety from the start of commuter service and promote a positive safety culture. In

FY 2010, FRA worked with the Southeast Michigan Council of Governments on their operations

between Detroit and Ann Arbor, the Capital Metro in Downtown Austin, and the Virginia

Railway Express, which changed its contractor for operations in 2010.

PRD is also assisting both Florida and California in the development of specifications for their

HSR programs.



Industrial Hygiene

The Industrial Hygiene Division has a dual role within FRA. The division is responsible for

performing activities in support of Administration enforcement in the railroad industry as well as

for implementing internal Occupational Safety and Health Administration compliance programs

in safety and health for the benefit of our coworkers.

In regulatory enforcement, the Division has primary responsibility for ensuring compliance with

the regulations governing occupational noise exposures in locomotive cabs and exposures to

contaminants in the cabs of maintenance-of-way equipment. As the Occupational Noise

Exposure regulation for the locomotive cab occupants is fully implemented, more enforcement

efforts are expected to take place there. The Division supports the MP&E, Track, OP, HM, and

Signal disciplines in the areas of the use of fall protection for railroad bridge work, diesel

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exhaust in locomotive cabs, and non-occupational noise rules; as well as Environmental

Protection Agency noise rules from 40 CFR Part 201 under 49 CFR Part 210, and 49 CFR

Section 229.129, Audible warning device. In the future, the Division will also play a role in the

enforcement of a future regulation on fitness-of-duty (medical standards) of railroad safety

employees.

The Division also has primary responsibility for FRA internal safety and health compliance

programs including blood borne pathogens, confined space entry, hearing conservation, radiation

protection, and injury and illness reporting. The Division develops the structure of the programs,

develops and provides the training associated with them, provides guidance for compliance, and

maintains all necessary records.


The Safety Improvement and Development Team (SIDT) is staffed with discipline-specific

trainers that train inspectors throughout the year on FRA safety regulations. The primary

mission of the SIDT is to manage the Office of Railroad Safety’s Technical Training Program

for the 600 Federal and participating State railroad safety inspectors and specialists of the five

technical disciplines. To accomplish this mission, the team designs, develops, and delivers

specialized internal courses and administers contract training from external sources as necessary.

A test is given before and after each class to confirm that inspectors are learning skills to enforce

effectively safety regulations. Classroom training using established training modules includes

enforcement directives from newly issued technical bulletins, enforcement manuals, and rule

modifications. This focus improves uniformity of enforcement nationwide and is a way of

determining that FRA inspectors meet agency qualification requirements.

Technical training is based on organizational needs and is mandatory. Various types of analyses

are performed to determine the organizational needs, including feedback from headquarters, the

regions, and the inspectors. On average, the team manages approximately 45 classes in 22

different courses of study each year. SIDT also develops and delivers general training to all

Federal and State employees who may be assigned to perform accident investigations or write

specialized reports, and to meet special agency needs such as steam locomotive inspections,

using radar to monitor train speeds, and fatigue-related assessments for safety-related railroad

employees. On average, new inspectors attend 7 weeks of classroom training during their first 2

years of employment, and all inspectors and regional specialists attend at least 1 week of

classroom training per year.

The SIDT also develops and administers on-the-job training standards for new railroad safety

inspectors and inspector trainees. These standards, based on a model used by the Department of

Defense, are specific to FRA inspection tasks. They are designed to ensure that the tasks are

fully described, that conditions for learning transfer are present, and that standards of proficiency

are met before an inspector is deemed qualified.

FRA held discipline-specific training conferences focused on uniformity of enforcement for all

five disciplines in FY 2009. The guidance provided reduces variations among inspectors in their

enforcement of Federal safety regulations.

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Technical Bulletins

Technical bulletins are internal documents (usually memoranda) issued to FRA’s regional

personnel by FRA’s Director for Safety Assurance and Compliance. The bulletins provide

interpretive guidance and they help clarify specific issues under the rail safety regulations and

other safety issues. Technical bulletins improve the awareness of inspectors and industry

persons in terms of what is expected from them when enforcing or complying with existing

safety regulations. The intermediate outcome is more uniform compliance, which improves the

quality of compliance and data used to measure achievement of safety goals. Newly produced

bulletins are immediately distributed to inspectors by e-mail, added to REG-Trieve disks every

quarter (which are distributed to inspectors for easy access to these documents on their laptop

computers), and incorporated into training classes.

Compliance Manuals

The Office of Railroad Safety uses six manuals to establish and clarify organizational

expectations for railroad safety inspectors, safety specialists, and regional managers. All of the

manuals are primary source documents for both classroom and on-the-job training.

The General Manual describes the organization of DOT, of FRA generally, and of the Office of

Railroad Safety specifically. This manual includes step-by-step instructions that regions and

inspectors must use when performing accident investigations, clarifies general expectations for

use of enforcement and other compliance tools, explains in general terms other safety

mechanisms and investigations the Office of Railroad Safety uses to ensure a higher level of

safety in the United States, and provides interviewing guidance.

The Office of Railroad Safety also publishes compliance manuals for the five railroad safety

inspection disciplines. These manuals establish organizational expectations for inspection tasks,

establish specialized investigation requirements, and explain application of FRA safety

regulations.

Performance Evaluations

Performance evaluations for regional administrators include GPRA safety goals. Quarterly

progress reports are provided to regions showing their progress toward their share of annual

national goals. The intermediate outcome provides a means for evaluating what the region is

doing to improve safety and a way to check on what their region is doing to succeed at making a

difference in safety.

Rail Integrity

The Rail Integrity Group within the Track and Structures Division was established to provide

FRA oversight on railway non-destructive inspection programs and other rail-related

maintenance programs. The Rail Integrity Group maintains FRA safety policies and provides

guidance for all rail-related issues as determined by 49 CFR Part 213, Track Safety Standards.

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The group is the primary representative for the Office of Railroad Safety and other FRA

divisions concerning rail-related incidents that impact railway safety.

The purpose of the Rail Integrity Group is to provide expert advice and assistance to

headquarters, regional safety staff and regional administrators on safety issues relating to

management, inspection, and maintenance of railroad rail; railroad safety issues related to rail

and components; and issues concerning rail defect development, rail failure, and rail-caused

train accidents.

The Rail Integrity Group analyzes the current non-destructive rail inspection programs and

processes, rail maintenance programs, and make recommendations on those analyses. They

perform onsite inspections, investigations, and evaluations to determine the effectiveness of

railroad safety programs that the inspection, maintenance, and replacement of rail. They also

provide oversight into the capabilities of the various non-destructive detection systems, the

training and experience of the flaw detector car operators, and the accuracy of the defect

verification process utilized by the test car operator.


In the field of technology, FRA oversees a fleet of track geometry rail cars under its ATIP.

These advanced, specially designed cars provide accurate track geometry data to assess

compliance with our Federal Track Safety Standards. Currently, the fleet inspects roughly

30,000 miles a year out of approximately 220,000 miles of track, with major priorities given to

passenger, hazardous materials, and defense-related routes. With the full production of the new

geometry cars, ATIP intends to increase survey miles to approximately 100,000 miles per year.

The track data collected under ATIP is used by FRA’s railroad inspectors and by railroads to

ensure track safety and to assess track safety trends within the industry. The railroads often use

ATIP data as a way of checking quality assurance on their inspection and maintenance. To

facilitate use of the collected data, ATIP intends to originate and distribute quarterly survey

reports to agency and railroad managers to promote consistent application. ATIP will place

additional emphasis on Amtrak and commuter routes to promote passenger safety. To support

this goal, ATIP intends to identify track segment locations based on quality index for additional

attention by ATIP, regions and railroads.


Industrial Hygiene

The Industrial Hygiene Division had many accomplishments in FY 2010. Staff in this division

completed initial training for hazard communication and refresher training covering blood-borne

pathogens, and confined space entry as part of the agency’s Safety and Health program. Staff

also conducted training sessions for all safety disciplines at all of the Office of Railroad Safety’s

regional conferences held throughout the year.

The Industrial Hygiene Division addressed various compliance issues industry wide regarding

Section 229.129 of the train horn rule. The division prepared a ―frequently asked questions‖

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(FAQ) document that will form compliance guidance for MP&E inspectors, and presented these

at the regional and multi-discipline conferences held this year.

The Industrial Hygiene Division has continued monitoring noise exposure for all discipline

inspectors to determine if FRA needs to establish a hearing conservation program. This effort

will continue for at least another year until sufficient data is collected to ensure FRA has

properly identified any excessive noise exposures, or established that there are none. Staff

audited two large railroads for compliance with 49 CFR Part 227, the Occupational Noise Rule.

These audits were conducted to confirm the field elements of compliance, including provision of

personal protective equipment and posting of exposure measurements.

Staff also investigated reports of issues ranging from community noise complaints (40 CFR

Part 210 / 49 CFR Part 210) to potential asbestos and diesel exhaust exposures of railroad

employees.

The Industrial Hygiene Division also drafted a report for Congress on Railroad Carrier Employee

Exposure to Radiation in response to a mandate in section 411 of RSIA. This report is in the

final stages of clearance.

Emergency Escape Breathing Apparatus (EEBA) – Pursuant to RSIA, FRA issued an NPRM

on EEBA. FRA proposed to require railroads to provide an appropriate atmosphere-supplying

emergency escape breathing apparatus in proper working order to members of train crews, direct

supervisors of train crewmembers, and certain other employees while these employees are

occupying the cabs of freight train locomotives transporting hazardous material that would pose

an inhalation hazard in the event of release during an accident. This includes material poisonous

by inhalation (―poisonous inhalation hazard‖ or PIH materials) and asphyxiates such as

flammable gases; non-flammable, nonpoisonous compressed gases; gases poisonous by

inhalation; and certain other materials classified as poisonous by inhalation.

The purpose of the proposed rule is to protect the occupational health and safety of employees

whose predominant risk of exposure to hazardous materials due to a railroad accident may occur

in or during escape from the locomotive cab. This rule is intended to prescribe minimum Federal

standards for providing emergency escape breathing apparatus suitable to provide eye and

respiratory protection for all crew members in locomotive cabs on freight trains carrying

hazardous materials that would pose an inhalation hazard in the event of release.

The proposed rule would also require railroads that transport PIH materials and asphyxiates on

the general railroad system of transportation to establish and carry out a series of programs for

inspection and maintenance of the devices; instruction of employees in the use of the devices;

and selection, procurement, and provision of the devices. Railroads would be required to

identify individual employees or positions to be placed in their EEBA programs so that a

sufficient number of EEBAs are available and that the identified employees or incumbents of the

identified positions know how to use the devices. Finally, the proposed rule would require that

convenient storage be provided for EEBAs in the locomotive to enable employees to access such

apparatus quickly in the event of a release of a hazardous material that poses an inhalation

hazard.

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As in past years, FRA held several discipline-specific technical training classes focused on areas

within its five disciplines: Motive Power and Equipment, Hazardous Materials, Operating

Practices, Signal and Train Control, and Track and Structures. These training courses were held

in various locations throughout the United States, and provided our inspectors with an

opportunity to understand new practices. New inspectors attend seven weeks of training in their

first two years. All other inspectors receive a minimum of 1 week of training during the year,

with the ability to request more training if desired. Our inspectors have found this training to be

an excellent opportunity to increase their knowledge and share their experiences.

FRA also hosted a multi-discipline conference in August of 2010. This conference was divided

into 2 weeks in which inspectors and specialists of each discipline attended one of the weeks

offered. The staff directors of the various disciplines assessed the needs of each division to

determine what topics should be presented or discussed at the conference. The agenda was

driven by the needs of the field operations, and the majority of the topics discussed involved

regulatory issues. During this conference, the inspectors heard not only from FRA specialists,

but also from leaders of the railroad industry and rail labor representatives. There was a robust

discussion among all parties and stakeholders; FRA Regional Administrators, Deputy Regional

Administrators, specialists, and inspectors all participated in these discussions.

Technical Bulletins

FRA issued three Technical Bulletins during FY 2010, one for MP&E and two general bulletins.

These bulletins have provided clarity to regulations and other safety issues. As new bulletins are

posted via e-mail and online, inspectors are able to apply these principles and procedures

instantly to their work product. FRA has also supplied CD disks with this and new regulatory

information on a quarterly basis, allowing inspectors to access these documents easily on their

laptop computers. Technical bulletins were also incorporated where applicable in the discipline-

specific technical training sessions.

Compliance Manuals

Compliance manuals play an important role in the Office of Railroad Safety. The manuals from

the five disciplines are currently being updated and should be completed this calendar year.

These manuals provide the inspectors, specialists, and mangers with the most up-to-date

information in their areas of responsibility. The Hazardous Materials compliance manual was

updated in FY 2010 and distributed during the annual discipline conference as well as posted on

FRA’s internal SharePoint Web site, making updates available instantly.

FRA has continued to include GPRA goals in the Performance Evaluations of Regional

Administrators, providing further incentive to track progress and make necessary adjustments to

meet the goals in FY 2010. As discussed earlier, the Dashboard has also allowed Regional

Administrators to monitor safety levels and activities locally on a real-time basis. Trends can be

detected early enough for Administrators to shift resources or take other responsive action.

http://www.fra.dot.gov/Pages/458.shtml

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Rail Integrity

FRA has been working with industry through the RSAC process to develop proposed regulations

for a new performance based model for scheduling rail flaw detection, adjusted remedial actions

for rail flaws, and a significantly improved reporting of the rail inspection information.

FRA developed a methodology for the review of railroad plans and procedures for the

installation, maintenance, and inspection of continuous welded rail and to assure compliance

with new regulations recently issued in that area.

In addition, FRA developed a Track Inspector Rail Defect Reference Manual for use by

inspectors and a Rail Integrity Fundamentals Training course to enhance inspector knowledge of

non-destructive test methods, rail flaw detection processes, rail flaw development, rail

manufacturing processes, and characteristics of different rail types. The manual will be

distributed in early FY 2011.


FRA currently oversees a fleet of five track geometry rail cars, three cars under ATIP, and two

cars under the Office of Policy and Development. These advanced, specially designed cars

provide accurate track geometry information and data to assess compliance with CFR Part 213,

Federal Track Safety Standards. Since 2000, the ATIP fleet has inspected 409,853 miles2 of the

U.S. rail network over a span of 2,610 days. Collectively, the cars average about 157 miles per

day out of approximately 140,000 miles of main and siding track, with major priorities given to

passenger, hazardous material, and defense-related routes. FRA’s two newest full-production

geometry cars came on line in 2007. Combined with a third full-time production geometry car,

This new equipment will allow ATIP to achieve its goal of increasing survey miles to

approximately 100,000 miles per year, of which FRA surveyed 93,336 miles this fiscal year.

With the addition of three cars, ATIP has more than tripled its inspection frequency over

previous years.

TABLE 1: TYPICAL PRODUCTION MILES, FY 2009 to FY 2010

Geometry Car ID Application Type

FY 2009 FY 2010*

Total Miles

Amtrak

Miles Total Miles

Amtrak

Miles

DOTX-216 ATIP Enforcement 915 699 10,067 3,351

DOTX-217 ATIP Enforcement 15,838 3,728 14,734 4,033

DOTX-218 ATIP Enforcement 9,203 4,127 0 0



DOTX-220 Amtrak Assessment 37,823 37,823

Total 56,793 25,489 93,336 62,556

*Actual Mileage for October 1, 2009 to August 13, 2010, and estimated mileage for August 14, 2010 to September 30, 2010.

2 Source: Track Data Management System

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Table 1 illustrates typical production miles for the past 2 years and illustrates FRA’s

commitment to Amtrak and commuter routes with emphasis on passenger comfort (ride quality)

and overall passenger safety. The track data collected under ATIP is used by FRA’s railroad

inspectors and by railroads to ensure track safety and to assess track safety trends within the

industry. To support this objective, the ATIP track geometry inspection report, generated daily

by each car, identifies specific track geometry noncompliance and provides statistical exceptions

per mile, exceptions per foot, and Track Quality Index information (based on 528-foot track

segment locations) for additional attention and remediation by FRA headquarters, FRA regional,

and railroad managers.

To facilitate use of the collected data, ATIP has originated (begun in December 2009) and

distributed quarterly summary reports and degradation trending to agency and railroad managers

to promote consistent application. ATIP has also been providing online geometry car data

management and information via a secure Web site since 2003. Since ATIP cars are certified by

the International Organization of Standardization (ISO) as a ―rolling laboratory,‖ as an end

product, the railroad industry often uses ATIP data as a way of checking their own inspection

cars and performing track maintenance quality assurance and assessments.



crossing safety.

During the past six calendar years for which complete data is available, grade crossing incidents

have decreased 20 percent, from 2,977 in 2003 to 2,373 in 2008. Casualties have likewise

declined, with fatalities and injuries down 14 percent and 12 percent, respectively. While these

are encouraging trends, the number of accidents and casualties remains a concern for FRA.

FRA will promote and enhance public safety over the next 5 years by reducing rail-related deaths

and injuries due to collisions at highway-rail grade crossings. This will be achieved by using

additional public outreach and educational programs, and increasing law enforcement

partnerships.

During the 5-year period, FRA will partner with national organizations (e.g., Operation

Lifesaver, Inc. (OLI), the Federal Motor Carrier Safety Administration (FMCSA), the Federal

Highway Administration (FHWA) and the National Highway Traffic Safety Administration

(NHTSA), and non-Federal law enforcement agencies, to increase awareness and enforcement of

highway-rail grade crossing violations. The following briefly describes some of the

organizations and how FRA will work with them:


OLI A nonprofit, international, continuing public education program first established in 1972

to end collisions, deaths, and injuries at places where roadways cross train tracks, and on

railroad rights-of-way. FRA will provide funding and assistance in program

development.

225


FMCSA Focuses on reducing crashes, injuries, and fatalities involving large trucks and buses.

FRA will join forces with FMCSA outreach efforts and activities to prevent collisions at

highway-rail grade crossings.

Law Enforcement Increases partnerships between FRA and law enforcement through FRA’s Law

Enforcement Liaison Program. In addition, works with the National Sheriffs’

Association and the International Chiefs of Police Association to foster a better

relationship with law enforcement.

FHWA, NHTSA FRA will continue to work with these agencies and FMCSA to encourage Departmental

advocacy for improving crossing safety.

Prior to FY 2011, FRA will have:

1. Updated the Compilation of State Laws and Regulations Affecting Highway-Rail Grade

Crossings.

2. Issued a direct final rule of particular applicability that identifies the ten States with the

most collisions over the past three years and required them to develop State action plans

with specific solutions for improving safety at highway-rail grade crossings.

3. Worked with FRA’s Office of Chief Counsel to update model legislation for highway-rail


4. Issued a rule that requires each railroad carrier to establish and maintain a toll-free

telephone service for rights-of-way over which it dispatches trains for the reporting of

emergencies or other problems.

5. Provided two grant programs (assuming funding is provided as authorized) for States to

improve crossing safety.

One grant is for enhanced public education and enforcement programs to reduce crossing

collisions and reduce trespassing. The other grant is to provide priority funding for crossing

safety improvements (e.g., signals, gates, four-quadrant gates, medians, traffic signals, lighting,

signs, and crossing surfaces). These programs will continue through 2013.

During FY 2011, FRA will:

1. Study the effectiveness of various highway-rail grade crossing treatments on designated

high-speed rail corridors (e.g., Northeast Corridor, North Carolina, and Michigan) and

evaluate the economic benefits of the treatments. The purpose of this study is to

demonstrate the benefits of making improvements at crossings where passenger and

commuter train speeds are being increased.


1. Revise the DOT Crossing Inventory Form FRA F 6180.71 to include new fields that will

enhance the ability of States, railroads, FRA, and others to evaluate safety at crossings.

We anticipate that a rulemaking will be necessary for the new form and accompanying

guides.

2. Explore issuing a rulemaking mandating the periodic updating of the Inventory by both

railroads and States, per RSIA.

226

3. Issue rules or establish policy and guidance on responsibility for safety at private

crossings. This is an action identified in the 2004 Secretary’s Action Plan and a

continuation of efforts began in 2006.

4. Update the Compilation of State Laws and Regulations Affecting Highway-Rail Grade

Crossings. This publication compiles the existing State laws concerning highway-rail

grade crossings and will be made available to the public.


1. Research the risk reduction associated with commonly used Alternative Safety Measures

in quiet zones (e.g., escape medians) to determine appropriate standard effectiveness

rates. This study will potentially expand the approved Supplementary Safety Measures

while eliminating the cumbersome review process of Alternative Safety Measures.

2. Work with FRA’s Office of Chief Counsel to update model legislation for highway-rail



1. Conduct a study determining the effectiveness of the new Manual on Uniform Traffic

Control Devices requirement for all passive crossing to be equipped with either stop or

yield signs.


During FY 2010, FRA updated the compilation of State Laws and Regulations Affecting

Highway-Rail Grade Crossings. FRA also completed a rule of particular applicability that

identified the 10 States with the most collisions over the past 3 years and required them to

develop State action plans with specific solutions for improving safety at highway-rail grade

crossings.

FRA’s partnership with Operation Lifesaver, Inc. (OLI) has been essential to the reduction of

accidents at grade crossings in 2010. National Transportation Safety Board Chairman Deborah

Hersman commended OLI for its leading role in efforts to reduce highway-rail grade crossing

accidents by more than 80 percent since its founding in 1972. As 90 percent of all grade

crossing accidents are driver-related, FRA will continue to partner with OLI to increase

situational awareness and promote safety. The partnership in FY 2010 focused on increasing

driver awareness and enforcing of highway-rail grade crossing regulations.

FRA was not able to provide two grant programs for States to improve crossing safety because

funding was not appropriated for this.

FRA has made significant progress and is about to issue a NPRM on Emergency Notification

Systems with requirements for railroads to establish and maintain toll-free telephone services for

reporting emergencies or other problems in FY 2010. We plan to issue this proposal very early

in FY 2011.

227


and performance.


The primary goal of the FRA Research and Development (R&D) program is to enhance railroad

safety for conventional and HSR operations. The R&D program is managed by the FRA Office

of Research and Development (OR&D) within the Office of Railroad Development. In order to

improve the effectiveness of the FRA R&D program, a rigorous process for selecting and

evaluating R&D projects has been established and an annual review of the entire research

program is conducted by the independent Transportation Research Board. Priorities for project

selection include areas that present significant safety risks or unacceptable safety trends, where

technology is most likely to have a positive impact to both safety and performance, and where

there is a clear path to real-world implementation.

The R&D project evaluation and selection process has been used to identify those projects that

have the potential for significant safety impact, a positive impact on performance and

appropriate technology available. For those projects, selected emphasis is placed on producing

the maximum possible real-world impact at the earliest possible time. To accomplish this,

OR&D seeks to establish the partnerships with appropriate stakeholders including railroads, rail

labor, suppliers, and technology providers early in the life of the project. This minimizes the

time between a successful research and development ―proof of concept‖ and the application in

the field. Close collaboration with Office of Railroad Safety assures early identification and

remediation of potential regulatory barriers to innovation.

FRA OR&D has expanded the use of targeted grants and cooperative agreements, involving both

railroads and technology providers, to provide a fast start to establish stakeholder buy-in and

demonstrated real-world impact at the earliest possible time.

High-Speed Rail

Fostering the development of HSR in the United States has been an important part of FRA’s

work since its creation in 1967. During the 1980s and 1990s, FRA played a central role in

managing or facilitating the growth of high-speed service on the Northeast Corridor. Acting in

response to the Intermodal Surface Transportation Efficiency Act of 1991, FRA began the formal

process of designating HSR corridors for future development and providing limited funding for

corridor improvements primarily directed at safety. With the passage of the ARRA, which

provides $8 billion in capital assistance for HSR corridors and intercity passenger rail service,

and following President Obama’s announcement of a Strategic Plan for High-Speed Rail

(―Vision for High-Speed Rail in America‖), FRA now takes on the important work of helping to

make HSR a reality in markets across the Nation.

On June 17, 2009, FRA’s Administrator issued a notice of funding availability and interim

program guidance for the HSR Passenger Rail Program. The guidance identified transportation

safety and safety planning as evaluation criteria for merit consideration of proposed projects and

228

programs. This strategy describes how FRA will provide specificity and additional safety

guidance for development of HSR systems.

The hallmark of world-class HSR is safety. FRA believes that railroads conducting HSR

operations in the United States can provide service as safe as, or safer than, any HSR operation

being conducted elsewhere. In anticipation of such service, and to promote public safety, FRA

has developed a High-Speed Passenger Rail Safety Strategy. The final version of the Safety

Strategy was issued in November 2009 and is now available on the FRA Web site. The Strategy

includes (1) establishing safety standards and program guidance for HSR, (2) applying a system

safety approach to address safety concerns on specific rail lines, and (3) ensuring that railroads

involved in passenger train operations can effectively and efficiently manage train emergencies.

This strategy endeavors to achieve uniformly safe rail passenger service, regardless of speed.

Since the severity of collisions and derailments increases with speed, safety performance targets

for preventive measures are tiered to become more stringent as speed increases.

The strategy divides the safety issues into four categories: prevention, mitigation, emergency

management, and SSPs. Each category includes FRA initiatives to address the corresponding

safety issues. Some initiatives are fully developed with specific goals in place to address issues.

For example:

Vehicle Track Interaction and key safety issues related to track and structures will be

addressed through a final rule scheduled to be published in the first quarter of CY 2010.

Standards for PTC systems that define increased functionalities for higher speeds will be

identified during 2010.

Structural standards for Tier I trainsets (up to 125 mph) are under review in the RSAC

Engineering Task Force. Initial guidance will be issued during the first quarter of

CY 2010.

Structural standards for Tier II and above will commence in CY 2010 after Tier I

guidelines are completed.

System safety is also identified as a Safety Strategy component. HSR systems and other new

passenger rail service require development and evaluation of SSPs. SSPs seek to integrate the

process of identifying safety needs and managing them over time. One key to success is

effective hazard identification, which focuses attention on opportunities for risk reduction in the

particular circumstances of the specific passenger railroad. The purpose of an SSP is to improve

railroad safety through a structured, proactive program developed and implemented by passenger

railroad operators. The SSP can also support development of a strong safety culture and requires

processes and procedures to identify and manage hazards inherent to the passenger railroad.

Requirements for SSPs on HSR systems will be included in HSR Rules of Particular

Applicability and will be formalized for all passenger operations in ongoing rulemaking activity.

The goals for System Safety include completion of the RSAC portion of the System Safety

Regulation by February 2010 and issuing an NPRM for the System Safety Regulation by

September 2010.

229

Longer-term initiatives that address specific issues related to the Safety Strategy will be

developed throughout 2010. Work on these initiatives will commence as other projects are

completed and technical resources become available.



The primary goal of the FRA Research and Development (R&D) Program is to enhance railroad

safety for conventional and high-speed rail operations. The FRA R&D process includes multiple

phases involving problem/opportunity identification, concept identification/evaluation,

technology demonstration, and implementation support, including development of procedures,

industry best practices, and FRA safety standards, as necessary. The approach also involves

early and appropriate partnerships with the railroads, railroad suppliers, technology providers,

state and regional rail authorities, and railroad researchers at selected universities to enable

maximum real-world impact at the earliest possible time while leveraging limited Government

funding with in-kind support.

During FY 2010, FRA OR&D has been working in multiple areas in human factors and

equipment research, which include train occupant protection, fatigue and distraction, safety

culture and behaviors, grade crossing and trespasser safety, and hazardous material

transportation. OR&D has provided technical support for the development of guidelines and

standards for passenger equipment and locomotives for train occupant protection. The FRA

R&D team is also providing leadership within the railroad stakeholder community to clarify the

risks due to fatigue and distraction, and to identify, refine, and deploy methods for managing

those risks.

Over the past several years, OR&D has worked closely with the Office of Railroad Safety, the

railroad industry, and rail labor to identify ways in which safety culture contributes to overall

safety. They then develop and deploy methods to strength safety. Several successful programs

have been developed and their application to the industry is being expanded, including the Close

Call Reporting program, which now covers Amtrak operations nationwide. Grade crossing and

trespasser-related incidents account for 90 percent to 95 percent of the injuries and fatalities

associated with railroad operations today. Consequently, they impact multiple safety goals. The

focus has been on driver behavior, crossing configuration, sight distances, signage, public

awareness, and development of enforcement programs. OR&D also focuses on the impact of

more frequent trains running at higher speeds as passenger rail service expands and improves.

It is well recognized that hazardous materials are much safer to transport by rail than by truck.

Advancements in tank car designs, inspection, and operating practices have brought further

improvements to safety. Today the OR&D, in cooperation with the railroads, car builders and

the shippers, is supporting the development of design standards for next-generation tank cars.

FRA’s OR&D has been developing new technologies in track/component inspection and

assessment, including: autonomous track inspection systems, vision-based switch and joint bar

inspection technologies, rail stress measurement using ultrasonic guided waves, and laser-based

230

rail flaw inspection. FRA anticipates that each of these technologies will significantly change

the way railroads evaluate their track and components. These systems will improve the

efficiency and effectiveness of the inspection process by reducing the amount of time needed to

inspect track while increasing the quality of the inspection. OR&D is providing the engineering

and science to support the development and publication of the NPRM for the high-speed track

safety standards. In addition, OR&D conducted a track inspector survey to provide data focused

on understanding the inspection process and highlighting areas of potential improvement.

During FY 2010 there were several significant milestones in the development and deployment of

safety technology from the equipment and human factors R&D program including:

Delivery of Crash Energy Management equipped passenger cars based on the results of

research, testing and analysis conducted by FRA,

Issuance of an industry specification for the Passenger Investment and Improvement Act

(PRIIA) 2008 Authorized Next Generation Equipment Committee with support from

FRA to assure safety technologies such as push back couplers, anti-climbing features, and

Crash Energy Management features were incorporated.

Award of a grant to study grade crossing/trespasser safety-suicide countermeasures

Publication of Switching Operations Fatality Analysis Program evaluation report

Publication of two reports addressing fatigue issues.

o Shift work Schedule Management Gap Analysis

o ―Work Schedules and Sleep Patterns of Railroad Train and Engine Service Workers‖

o Addition of New Jersey Transit and Amtrak as pilot demonstration sites for the

Confidential Close Call Reporting System.

FRA’s OR&D continues to improve the safety systems related to PTC technologies to support

the HSR safety strategy, which has a direct impact on the PTC implementation by mandated date

of December 2015. For instance, in the area of PTC enforcement, OR&D has substantially

improved the capability to improve safety and efficiency. In collaboration with the rail industry,

OR&D formulated the interoperability standards to ensure safe and efficient operation under

PTC control throughout the rail network.

Success is measured by actual implementation by the industry of the ideas or technology

developed by the FRA OR&D program. The industry providing funding and support to a

program or project is a strong indication that the activities have significant merit and strong

potential for success and final implementation.

Over FY 2010, major many milestones have been achieved to support the PTC implementation

by December 2015:

1. FRA/Michigan DOT/Amtrak Incremental Train Control System (ITCS) Project

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On April 9, 2010, the Michigan Line equipped with the ITCS PTC system was approved

for maximum speed of 110 mph, subject to several conditions with which Amtrak is

willing to comply. This is the first intercity passenger operation outside the Northeast

Corridor that has been approved for 110 mph operation.

2. Adaptive Braking Algorithm for PTC Enforcement

The adaptive braking algorithm project has completed a substantial improvement of the

braking distance prediction for PTC systems. While the algorithm is still being further

improved, the adaptive functions to correct for braking efficiency, brake propagation, and

weight estimation are being incorporated to the Wabtec Electric Train Management

System (ETMS) production system. The benefit of an improved braking algorithm is to

prevent any loss of operating efficiency or capacity in PTC operation.

3. Employee-in-Charge Portable Terminal

The portable terminal, in collaboration with Transportation Technology Center, Inc., was

demonstrated to the railroads and suppliers in RSAC meetings. It was well received and

BNSF is integrating this portable terminal into their ETMS. The terminal is used to

assure roadway worker protection in work zones during PTC operation.

4. PTC Interoperability Standards

The collaboration with the AAR on PTC Interoperability Standards has reached an

intermediate milestone. AAR announced the release of the three Interoperable Train

Control (ITC) draft specifications, Class C messaging specification 1.6, Class D

messaging specification 3.2, and EMP message format specification 2.2 for comments.

High-Speed Rail

Despite significant progress made in FRA’s Vehicle/Track Interaction program, the agency was

not able to complete this rulemaking as planned. FRA did issue an NPRM, dated May 10, 2010,

proposing to modify and consolidate the safety criteria of 49 CFR parts 213 and 238, and is now

addressing comments received in response. FRA expects to complete this rulemaking in early

FY 2011.

With assistance from the RSAC, FRA develop a set of technical criteria and procedures for

alternatively evaluating the crashworthiness and occupant protection performance of passenger

rail equipment, intended to be applied to alternatively designed equipment for use in passenger

rail service at speeds up to 125 mph (Tier I service). The approach taken in formulating these

criteria and procedures will help guide the development of new crashworthiness and occupant

protection performance standards for passenger equipment operated at higher speeds. FRA will

begin working with RSAC to develop these standards in October 2010.

232

As noted earlier under the Performance Assessment for RSIA Safety Goal # 1, despite many

efforts, FRA was not able to propose system safety regulations as planned this year. Although

the RSAC was able to make recommendations for a proposed regulation in September 2010, the

commuter rail industry has expressed concerns regarding duplication of effort that may result

from similar regulations issued by other agencies as well as requirements under future FRA risk

reduction regulations and protection of information provided as part of their System Safety

Program Plans. RSIA required FRA to conduct a study to determine whether it would be in the

public interest to protect such industry information; completion of that study is expected in about

one year.


fatalities.

Deaths among trespassers on railroad rights-of-way (2,496 in the 5-year period 2000 to 2004, or

approximately 500 annually) are the leading cause of fatalities attributable to railroad operations

in the United States. From a study completed in May 2008, FRA learned that trespassers who

die are an average of 38 years old and are most often Caucasian males. Approximately two-

thirds were under the influence of alcohol and/or drugs.

Coroners described the activity of more than 43 percent of the decedents as walking, standing,

sleeping, lying, reclining, lounging, or sitting on the track or in the gauge, i.e., between the rails.

Seven percent were walking or running across the track. Other activities included riding a

recreational vehicle (all-terrain vehicle, dirt bike, snowmobile, etc.), standing outside the gauge

but obviously too close, riding or getting on or off a train, driving a highway vehicle, or being on

a bridge or trestle. Tunnels were not mentioned.

Future Trespassing Strategies

FRA’s future trespassing strategies include the following:

Promote and enhance public safety by reducing rail-related deaths and injuries due to

trespassing on railroad rights-of-way and other property, using increased public outreach

and education programs. (Ongoing throughout the five years.)

Partner with national organizations to increase awareness and enforcement of railroad

trespassing, including OLI. In addition, FRA will partner with Drug Abuse Resistance

Education (D.A.R.E.) America to develop graffiti prevention programs with special focus

on railroad trespassing.

Prior to FY 2011, FRA staff will have reviewed and evaluated existing local, State, and Federal

laws that address rail trespassing, vandalism, and violations at highway-rail grade crossing signal

warning devices. In addition, FRA will have developed and made available to States model

prevention and enforcement strategies. By 2011, FRA will have developed a Web site for

educators and law enforcement officials that outlines facts, lesson plans, and State laws designed

for them.

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1. Host a Right-of-Way Trespass Reduction workshop that will take an in depth look at the

issues surrounding one of the more significant risk areas facing the rail community:

trespassing and fatalities on the railroad rights-of-way. The goal of the workshop will be

to identify and share existing industry-leading practices and explore new strategies that

the rail industry could pursue to reduce the number of right-of-way and trespasser

incidents and fatalities.

2. Conduct a demographic study of profiles collected by the rail industry to provide

information regarding the at-risk audience to be target for additional education and

outreach activities.

3. Seek additional funding to provide two additional grade crossing managers to assist with

the growing needs of trespassing-related issues.


In FY 2012, FRA will continue to promote and enhance public safety by reducing rail-related

deaths and injuries due to trespassing on railroad rights-of-way and other property, using

increased public outreach and education programs by:

1. Using data collected by the railroads and working with the Geographic Information

System to plot each trespassing incident and fatality. This information will be useful to

direct additional outreach, educational resources, and law enforcement activities to areas

in need.

2. Updating the Compilation of State Laws and Regulations Affecting Highway-Rail Grade

Crossing.


1. Review and update model trespass legislation and vandalism model legislation.




1. Host a Right-of-Way Trespass Reduction workshop (as in 2011).

2. Conduct a demographic study of profiles (as in 2011).


In FY 2010, FRA reviewed and evaluated local, State and Federal laws that addressed rail

trespassing, vandalism, and violations of highway-rail grade crossing signal warning devices.

FRA also developed a model for prevention and enforcement strategies. The agency expects to

issue this model early in FY 2011 and make it available to States. In March 2010, FRA

published a Trespassing and All-Terrain Vehicle (ATV) Usage on Railroad Property Fact Sheet.

This document, which has been made available on the FRA’s Web site, helps to educate the

public regarding this issue, thereby reducing the number of rail trespass incidents. In addition,

FRA has developed presentations discussing its trespassing strategies for law enforcement

officials. These presentations will soon be available on our Web site.

234

FRA is encouraging communities and States to implement pilot programs under OLI’s Railroad

Safety Public Awareness Program. These programs address the need for targeted and sustained

community outreach. In 2010, FRA helped to develop a crossing safety video for professional

truck drivers. This video is available on FRA’s Web site in both English and Spanish. FRA is

also encouraging the development of community action plans that incorporate a problem-solving

model designed to provide a step-by-step approach for addressing crossing safety issues.


infrastructure to prevent accidents, incidents, injuries, and fatalities caused

by catastrophic failures and other bridge and tunnel failures.


FRA has been conducting evaluations of railroad bridge management programs since the 1980s,

before the Bridge Safety Policy was issued as an interim statement in 1995 and in final form in

August 2000. This Policy issues guidelines by which railroads should implement bridge safety

management programs, and by which FRA evaluates those programs. FRA issued a revised

bridge policy statement in January 2009 to add recommendations developed by the Railroad

Bridge Working Group of the RSAC in 2008.

In September 2007, FRA also issued Safety Advisory 2007-03 to further explain and amplify

important aspects of the agency’s bridge safety policy and to re-emphasize the need for railroads

to adopt and implement safe maintenance practices to prevent bridge failures.

Following enactment of RSIA, FRA’s RSAC undertook the task of developing a recommended

text for a Federal railroad bridge safety regulation that would govern railroads’ bridge

management programs. The RSAC Working Group completed that task in April 2009. In

August 2009, FRA published an NPRM based on the RSAC recommendation.

Meanwhile, FRA continues to evaluate bridge management practices on a representative

sampling of the Nation’s railroads, including Class I, II, and III freight railroads, and passenger

carriers. The evaluations generally compare a railroad’s program with the guidelines in the FRA

Bridge Safety Policy, and include observations of individual bridges to determine their general

condition, as well as the accuracy of the railroad’s inspection reports. Most large railroads

generally conform to the FRA guidelines, but FRA has discovered instances where management

had not adequately evaluated or addressed critical items delineated in railroad bridge inspection

reports before they developed into critical failures or near-failures. Many of the smaller railroads

evaluated also conformed generally to the guidelines, but a considerable number either fell short

by a large degree or showed no evidence of bridge inspection, management, or maintenance.

235

FRA has examined reports from January 1, 1982, through December 31, 2006, of 51 train

accidents caused by the catastrophic structural failure3 of railroad bridges, an average of two per

year. During that 25-year period, two people were injured and no fatalities were attributed to

structural bridge failure. Since that period, four instances have been reported to FRA in which

lack of adherence to the guidelines in the Bridge Safety Policy resulted in trains operating over

structural deficiencies in steel bridges that could very easily have resulted in serious train

accidents.

In CY 2007, five train accidents occurred due to catastrophic structural failure of bridges, all of

which were timber trestles. The most severe of those accidents occurred on the M&B Railroad

near Myrtlewood, Alabama, where a train of solid fuel rocket motors derailed when a timber

trestle railroad bridge collapsed under the train. Several cars, including one car carrying a rocket

motor, rolled onto their sides and six people were injured. FRA also recently evaluated the

bridge management practices of several small railroads and found that some had no bridge

management or inspection programs whatsoever.

In CY 2008, FRA had reports of two train accidents due to catastrophic structural failure of

bridges, both of which were timber trestles. One railroad employee was injured from this cause.

Besides the development of regulations and the evaluation of railroad bridge management

programs, FRA is cooperating with the American Short Line and Regional Railroad Association

and all of the large railroads in the development of model programs that can be adopted by small

railroads to enable the safe, effective, and efficient management of their bridges.



Maintaining bridges and tunnels are key to the infrastructure and safe operations of the railroad,

and must be preserved in order prevent any catastrophic failure from occurring. In June 2010,

FRA published the Bridge and Safety Final Rule. This rule established Federal requirements for

railroad bridge management programs. Railroads are required to implement bridge management

programs that include, among other things, annual inspections of railroad bridges by qualified

persons. Track owners are required to know the safe load capacity of bridges and to conduct

special inspections when the weather or other conditions warrant it. Bridge management

programs must require adequate design and effective supervision of bridge modification and

repairs that would materially modify the capacity of a bridge. Finally, railroads have to audit

their bridge management programs and inspections. FRA is now developing a compliance

manual that will be issued early in FY 2011.

3 FRA uses the term ―catastrophic failure‖ to describe an incident in which a bridge collapses or directly causes a

train accident. A ―bridge failure‖ is a situation in which a bridge is no longer capable of safely performing its

intended function.

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RESOURCES NEEDED

The resources needed to meet the safety programs and goals in this strategy plan for FY 2011 are

found in FRA’s budget request for FY 2011.

PROGRESS ASSESSMENT

A historic review of FRA’s safety program using information from GPRA measures over a

5-year period are provided for this initial strategy. FRA is providing these results to show the

progress made leading up to the RSIA requirements.

FRA Safety Performance Measures

1. GRADE CROSSING INCIDENTS

Fiscal

Year Incidents

Train-Miles (000s)


Actual * GPRA Goal

2004 3,078 764,846 4.02 NA

2005 2,984 785,882 3.80 3.90

2006 3,071 805,340 3.81 3.85

2007 2,805 793,800 3.54 3.75

2008 2,537 781,708 3.25 3.75

2009 2,036 683,562 2.99 3.65


NA: not available

2. HUMAN FACTORS-CAUSED TRAIN ACCIDENTS

Fiscal

Year Incidents

Train-Miles (000s)


Actual * GPRA Goal

2004 1,315 764,846 1.72 NA

2005 1,295 785,882 1.65 1.66

2006 1,115 805,340 1.38 1.66

2007 1,034 793,800 1.30 1.66

2008 957 781,708 1.23 1.66

2009 708 683,562 1.04 1.35


NA: not available

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3. TRACK-CAUSED TRAIN ACCIDENTS

Fiscal

Year Incidents

Train-Miles (000s)


Actual * GPRA Goal

2004 1,006 764,846 1.32 NA

2005 1,099 785,882 1.40 1.27

2006 1,063 805,340 1.32 1.27

2007 1,003 793,800 1.26 1.15

2008 859 781,708 1.10 1.15

2009 704 683,562 1.03 1.15


NA: not available

4. EQUIPMENT-CAUSED TRAIN ACCIDENTS

Fiscal

Year Incidents

Train-Miles (000s)


Actual * GPRA Goal

2004 419 764,846 0.548 NA

2005 392 785,882 0.499 0.521

2006 350 805,340 0.435 0.521

2007 333 793,800 0.419 0.521

2008 339 781,708 0.436 0.521

2009 250 683,562 0.369 0.450


NA: not available

5. OTHER (SIGNAL & MISC.) TRAIN ACCIDENTS

Fiscal

Year Incidents

Train-Miles (000s)


Actual * GPRA Goal

2004 529 764,846 0.692 NA

2005 556 785,882 0.707 0.647

2006 517 805,340 0.642 0.647

2007 403 793,800 0.509 0.647

2008 391 781,708 0.499 0.647

2009 329 683,562 0.484 0.647


NA: not available

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6. NON-ACCIDENT RAIL HAZMAT RELEASES

Fiscal

Year Incidents

Train-Miles (000s)


Actual * GPRA Goal

2004 669 764,846 0.875 NA

2005 684 785,882 0.870 0.965

2006 632 805,340 0.785 0.940

2007 697 793,800 0.878 0.915

2008 686 781,708 0.895 0.900

2009 629 683,562 0.927 0.800


NA: not available

CONCLUSION

FRA’s Railroad Safety Strategy includes a variety of approaches to achieve industry safety

improvements. The NSPP is focused on critical safety projects that are designed to advance

safety improvements. The NIP focuses Federal inspector efforts toward areas on railroads

needing the most attention and monitors progress made achieving inspection goals.

Rulemakings are improving industry actions by providing improved methods to achieve safety

advancements. The RRP is a process that brings industry and FRA together to build a strong

safety culture. Highway-rail grade crossing and trespass prevention programs promote

enhancing public safety through public outreach, educational programs, and increased law

enforcement partnerships. FRA’s research and development has potential for significant safety

impact, a positive impact on performance, and identifying promising available technology.

Emphasis is placed on producing the maximum possible real-world impact at the earliest

possible time.

Documents

BUDGET ESTIMATES - US Department of Transportation fy... · BUDGET ESTIMATES FISCAL YEAR 2012 FEDERAL RAILROAD ADMINISTRATION ... transportation authorization proposal, to facilitate